Compliance Analyst

3 weeks ago

Boston, United States Masis Professional Group Full time

Masis Professional Group provided pay rangeThis range is provided by Masis Professional Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay range$95,000.00/yr - $105,000.00/yrAdditional compensation typesAnnual BonusDirect message the job poster from Masis Professional GroupThe Compliance Analyst at this Boston Financial Service firm will report directly to the CCO with a focus on protecting client confidentiality and providing key support performing annual supervisory controls and verification testing. FINRA licenses required for this role include the 7, 24 and 63/66 along with 2-5 years of compliance or risk role at a broker dealer of investment advisory firm.Responsibilities include:Assist with performing firm’s annual supervisory controls and verification testingReview, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reportsReview and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct BusinessConduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as neededMonitor Firm and Regulatory Element Continuing Education trainingOrganize outside brokerage account approvals and review trading activity in employee outside accountsTake initiative in career growth by engaging in provided development opportunitiesBe an active culture carrier within teams and contribute to a positive team moraleRequirements:FINRA licenses required for this role include the 7, 24 and 63/662-5 years in a compliance role at a broker dealer/investment advisory firmExperience using DocuSign and Adobe AcrobatBranch visits with 5% domestic travelStrong interpersonal skillsSeniority levelAssociateEmployment typeFull-timeJob functionCustomer Service and AnalystReferrals increase your chances of interviewing at Masis Professional Group by 2xInferred benefitsMedical insuranceVision insurance401(k)Paid maternity leavePaid paternity leaveTuition assistanceGet notified about new Compliance Analyst jobs in Greater Boston.Framingham, MA $80,000 - $110,000 23 hours ago #J-18808-Ljbffr

  • Compliance Analyst

    2 weeks ago

    Boston, United States Boston Partners Group Full time

    Compliance Analyst page is loaded## Compliance Analystlocations: Bostontime type: Full timeposted on: Posted 4 Days Agojob requisition id: R-100065**Position:**Compliance Analyst**Department:**521200 Compliance**Manager:**Kristen McDonough**Location:**Boston**Company Summary:**Boston Partners is a global investment advisor with $100 billion in AUM...

  • Compliance Analyst

    3 weeks ago

    Boston, United States Masis Professional Group Full time

    Masis Professional Group provided pay range This range is provided by Masis Professional Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $85,000.00/yr - $100,000.00/yr Additional compensation types Annual Bonus Direct message the job poster from Masis Professional Group Talent...

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    3 weeks ago

    Boston, United States Harrison Gray Search Full time

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  • Compliance Analyst

    3 weeks ago

    Boston, United States Boston Partners Group Full time

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    5 days ago

    Boston, Massachusetts, United States Boston Partners Full time

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    Boston, United States Datavant Full time

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    Boston, United States ARMA International Full time

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    Boston, United States Boston Staffing Full time

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    Boston, United States Massachusetts Staffing Full time

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    3 weeks ago

    Boston, United States Wellington Management Full time

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