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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 FinancialFanning Personnel
Boston, 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, sta
Job Source: Fanning PersonnelManulife 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: 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
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 positive outcomes. With decades of trusted experience propelling us forward, we strive to build portfolios aimed at generating successful outcomes for our clients. We do this through the independence of thought that powers our investment strategies and by bringing a renewed approach to look around the corner to unlock what's possible. Allspring is a company committed to thoughtful investing, purposeful planning, and the desire to deliver outcomes that expand above and beyond financial gains. For more information, please visitAbout Us - Allspring Global Investments.
At Allspring, unique views inspire us. We leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals. We strive to attract and retain a diverse talent pool that enables us to better serve our global client base. Intentionally fostering a diverse and inclusive culture allows us to empower innovation, productivity, and engagement. It's also essential for elevating the experience of our clients as well as the communities in which we operate. Thank you for considering Allspring as you explore the next step in your career journey.
POSITION
Allspring is looking for a Compliance Analyst that will be an integral part of the Allspring Compliance Team.The Compliance Analyst will primarily support the centralized Compliance monitoring program for Allspring Global Investments by performing testing, monitoring and other Compliance program related activities.
RESPONSIBILITIES
Support the centralized monitoring program by performing risk-based testing and oversight reviews, electronic communication monitoring, and market abuse testing.
Identify, escalate, address, and validate potential policy violations identified through monitoring activities.
Partner with business and compliance colleagues to enhance and develop compliance controls and new compliance testing requirements.
Exercise effective communication and promote positive relationships with compliance team members and business partners.
Assist with responding to client requests and regulatory inquiries.
Support key business and compliance initiatives.
CANDIDATE
Candidate should be a highly motivated self-starter, able to be successful in a working environment that requires flexibility and independence with ambiguous situations and constant change to achieve desired outcomes.
REQUIRED QUALIFICATIONS 1-3 years of experience in asset management or broker-dealer risk function (includes compliance, financial crimes, operational risk, audit, credit risk, market risk, business process management) or 3+ years of financial services industry experience.
BS/BA degree or higher.
Excellent verbal, written, and interpersonal communication skills.
Strong analytical skills with high attention to detail and accuracy.
Ability to work independently or in collaboration with others in a fast-paced and deadline driven environment.
PREFERRED QUALIFICATIONS Experience utilizing transaction-based monitoring and surveillance tools.
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We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
Email Alert for Compliance Analyst jobs in Boston, MA, United States
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