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Compliance Associate

Recruiter
Hamlyn Williams
Location
Boston
Salary
Competitive
Closing date
6 Jul 2022

View more

Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance, Compliance & Regulation
We ve partnered with a growing asset management firm looking to add to it s growing compliance department. You will be working directly with the US Chief Compliance Officer in Boston, MA. This a hybrid role requiring 3 days in office.

What you ll be doing:
  • Assist in the preparation of annual and quarterly SEC, NFA, and CFTC filings. This includes Form ADV Part 1 & 2, Form 13F, PF, PQR, PR
  • Create a data gathering and reporting process for regulatory and internal use.
  • Help with the monitoring and enforcement of US trade issue processes from start to finish.
  • Assist with annual compliance review and training materials.
  • Contribute to day-to=day compliance program actions including monitoring employee trades. Reviewing accounts, gifts, and contributions.
  • Help with regulatory requirements and testing using FINRA/ERISA rules.
  • Review marketing materials and conduct research on compliance market rules.
Minimum Qualifications:
  • Bachelor s level educated - finance, accounting, economics, or legal studies is preferred
  • 1-2 years of regulatory compliance or financial services
  • Proficiency in Microsoft Office and experience in VBA, Python, or other coding language is a plus
For more information, please contact Nicole Izurieta at

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