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SCS Financial
Boston, MA, United States
Firm Description Founded in 2002, Boston-based SCS Financial Services is an investment and wealth management firm serving families, family offices, and institutional investors. We manage approximately $30 billion in assets across public and private markets. Our firm prides itself on our team-based approach, excellent investment performance, a powe
Job Source: SCS FinancialSCS Financial
Boston, MA, United States
Firm Description Founded in 2002, Boston-based SCS Financial Services is an investment and wealth management firm serving families, family offices, and institutional investors. We manage approximately $30 billion in assets across public and private markets. Our firm prides itself on our team-based approach, excellent investment performance, a powe
Job Source: SCS FinancialManulife Insurance Malaysia
Boston, MA, United States
Vous cherchez un milieu de travail axé sur le soutien et la collaboration, avec des équipes formidables et des gestionnaires inspirants? Vous êtes au bon endroit. Nous sommes à la recherche de personnes ambitieuses qui partagent nos valeurs et qui veulent améliorer le quotidien des gens partout dans le monde. Vous vous reconnaissez? La carrière déc
Job Source: Manulife Insurance MalaysiaBerkshire Hathaway Specialty Insurance
Boston, MA, United States
Who are we? A strategic and trusted insurance partner, Berkshire Hathaway Specialty Insurance (BHSI), provides a broad range of commercial property, casualty and specialty insurance coverages and outstanding service to customers and brokers around the world. Part of Berkshire Hathaway’s insurance operations, we bring our solutions to market with ou
Job Source: Berkshire Hathaway Specialty InsuranceAllspring
Boston, MA, United States
Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positi
Job Source: AllspringAllspring
Boston, MA, United States
Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments™ is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and posit
Job Source: AllspringMoors & Cabot Inc
Boston, MA, United States
Job Description Job Description Role Description The Compliance Analyst is an integral member of the Compliance department that has a mission to conduct Moors & Cabot business consistent with the highest standards of commercial honor and just and equitable principles of trade. Keeping our customers’ interests foremost is key to Moors & Cabot’s
Job Source: Moors & Cabot IncAllspring Global Investments
Boston, MA, United States
Description Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial retur
Job Source: Allspring Global InvestmentsBoston, MA, United States
Highly esteemed Boston investment firm is seeking a Compliance Analyst to join their team! This individual will assist the compliance department with the development, implementation, and maintenance of the firm's compliance program. The Compliance Analyst will provide oversight of the firm's activities to ensure they are compliant with federal, state, and local regulations as well as the firm's policies and procedures. The ideal candidate will have exceptional written and verbal communication skills as well as knowledge of securities laws.
Position Responsibilities:
Conduct regular monitoring and back-testing on the firm's activities to determine whether existing practices are compliant with federal and state regulations as well as the firm's policies and procedures
Enhance, implement, and maintain the firm's policies, procedures, and processes
Identify key risk areas and maintain knowledge of the firm's processes and regulatory requirements
Prepare and submit regulatory filings as needed as well as conduct due diligence on research vendors
Provide guidance to the investment and operation teams on day-to-day activities as well as strategic initiatives
Assist with managing the firm's restricted list process and develop periodic compliance training
Ad hoc responsibilities as needed
Qualifications : Position Qualifications:
Bachelor's degree with 3-6 with a compliance department or relevant legal/operations experience
Highly organized with a keen attention to detail
Exceptional communication skills both written and verbal
Strong analytical skills
Ability to present important information to all levels of the organization
Prioritize conflicting tasks in a fast-paced deadline driven environment
Ability to work collaboratively in a team environment as well as independently
Strong knowledge of security laws and technological skills
Required Years of Experience : 3
Additional Info :
For more information contact: Chris Kennedy (617)728-4100 | [email protected]
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Email Alert for Compliance Analyst jobs in Boston, MA, United States
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