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Compliance Associate
3 months ago
Compliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)
About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known to be an excellent manager and mentor and the Sr. Compliance Associate will be an outstanding resource and mentor. The firm has a hybrid model- typically 2 days per week in office. The firm is boutique, with a small team and a lovely culture with excellent work/ life balance. This newly created role is designed to be interwoven throughout the organization, to provide additional compliance support, and to help with an increasing need for compliance review of marketing materials.
What you'll do: help with compliance oversight across Code of Ethics, personal trading, review of outside investments statements, proxy voting, custody, and portfolio compliance. Firm has a new Client Development Officer scaling up marketing efforts and you’ll also work on review of marketing collateral for adherence to firm compliance policies. Coordinate quarterly and annual compliance training for firm employees.
About you: you have a Bachelor’s degree with 1-3 years of financial services compliance experience. A plus if you have expertise in compliance review of marketing materials within an SEC regulated setting. Seeking strong writing and proofreading skills and an exceptional attention to detail in addition to a solid basic understanding of the financial markets and related terms. Ability to multitask and to utilize strong organizational skills. High proficiency with MS Office, especially Excel and generally be tech savvy. Experience with or capability to learn their compliance system. * please note, this is not a role for an attorney **role is re-posted, hiring manager put the role on hold initially to deal with an audit- they are ready to interview and hire as of mid June, so we are considering candidates now who meet the very narrow specifications listed in the posting.
