Compliance Analyst

Company: Fanning Personnel
Location: Boston
Posted on: October 16, 2024

Job Description:

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.Position Qualifications:
  • Bachelor's degree with 3-6 years of experience in 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
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Keywords: Fanning Personnel, Warwick , Compliance Analyst, Professions , Boston, Rhode Island