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Allspring 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 ret
Job Source: Allspring Global InvestmentsManulife 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 MalaysiaAllspring
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: AllspringSCS 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 PersonnelAllspring
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: AllspringSCS 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 FinancialMoors & Cabot Inc
Boston
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 IncBoston, MA, United States
Harrison Gray Search
has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Analyst.
The Compliance Analyst is an integral member of the Compliance department that has a mission to conduct business consistent with the highest standards of commercial honor and just and equitable principles of trade. Keeping their customers' interests foremost is key to our clients' success. Compliance is an integral part of serving our customers and therefore the firm's success. The primary focus of this specific position is oversight and surveillance to protect and safeguard our client, its registered individuals, and the clients they serve. This position exemplifies our clients' core values of Integrity, Service is Personal, One Team, Communication, and Initiative by communicating with employees regularly, maintaining confidentiality, performing assigned duties ethically, and being a key support structure within the Compliance team. By being an active, collaborative, and engaged employee, this role provides room for growth and advancement opportunities.
This full-time role reports to the Chief Compliance Officer. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. This role is open to be located in any office with hybrid flexibility (Boston, MA; Alexandria, VA; Naples, FL; Phoenix, AZ; Westport, CT; Winter Park, FL).
Role Responsibilities
Conduct onsite/remote branch reviews as part of risk-based internal branch examination process
Perform daily trade blotter review and approval with a focus on exception reports
Assist with performing firm's annual supervisory controls and verification testing
Review, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reports
Review and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct Business, etc. on RedOak
Perform investigations of potential violations of industry and firm policies, procedures and best practices (document findings and report to CCO)
Conduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as needed
Monitor Firm and Regulatory Element Continuing Education training
Research and respond to regulatory information requests
Work closely with Branch Managers on investigations involving trading activity in their respective branches
Review and oversee active/inactive accounts, advisor account cash balances, and Quarterly Fees
Enhance and implement Compliance policies, processes, and procedures
Organize outside brokerage account approvals and review trading activity in employee outside accounts
Serve as administrator for various compliance applications such as Bridger, Red Oak, Red Ed, Smarsh, LinkedIn etc.
Keep abreast of changes in regulatory rules and guidelines
Send various approved firm letters and notifications to customers, as needed
Organize and maintain content on Compliance Intranet site
Maintain Compliance files for the Department
Take initiative in career growth by engaging in provided development opportunities
Be an active culture carrier within teams and contribute to a positive team morale
Other projects as assigned
Key Measurements
Ability to build rapport with internal and external contacts
Thoroughness and accuracy of assigned task including but not limited to branch exams, controls testing, continuing education and social media oversight
Accomplishment of annual organizational, team and personal goals as communicated by management
Minimum Requirements
Bachelor's degree in a business related field
At least 2-5 years in a compliance or risk role for a broker dealer and/or investment advisor
FINRA Series 7, 24, and 63/66
Confident in using Microsoft Office Suite and Google Suite
Strong interpersonal skills
Ability to maintain confidentiality
Prior experience with compliance-related monitoring systems
Up to 10% domestic travel for branch exams
Competent in the following Knowledge, Skills, and Abilities:
Customer Service
Attention to detail
Clerical Work
Reading, Writing, and Oral Expression and Comprehension
Basic Math
Social Perceptiveness
Time Management
Empathy
Critical Thinking and Problem Solving
Deductive and Inductive Reasoning
Social Media
Preferred Requirements
Experience using DocuSign and Adobe Acrobat
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Email Alert for Compliance Analyst jobs in Boston, MA, United States
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