Compliance Associate

Boston, MA

Job Reference #1836

Our client, a successful investment advisory firm with over $12B in AUM, is looking to bring on a bright compliance professional with a desire to expand their knowledge within the space. This position will report to the Director of Compliance. 

Key Points

  • Great opportunity for someone young in their career to gain exposure to all areas of a compliance program 
  • Position sits on the trading floor and will have interaction with senior management
  • Firm takes good care of their employees and has very low turnover 
  • This hire can take on more and more as they prove capable 
  • Firm offers a competitive compensation and benefits plan

Responsibilities

  • Monitor and review client investment policies and guidelines
  • Collaborate with the team developing and administering compliance testing
  • Assist with client certifications
  • Eventually, monitor communications and marketing materials to ensure compliance
  • Attend conferences and other educational events to expand knowledge of regulatory compliance matters
  • Complete other compliance related projects as needed

Qualifications

  • Bachelor’s degree
  • Previous compliance, audit or operations experience
  • Desire to learn more about industry legal and compliance matters
  • High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
  • Ability to work and effectively communicate with a team
  • Ability to work independently on a variety of projects
  • Dedicated, pro-active, problem-solving mindset

Compensation: $70-100k