Job Description
Join our award-winning compliance team as a Compliance Officer in Boston, MA. This full-time role offers flexible hours to support your work-life balance while ensuring regulatory excellence. You'll be pivotal in maintaining our ethical standards and navigating complex financial regulations. Enjoy competitive compensation, comprehensive benefits, and a hybrid work environment.
Responsibilities
- Monitor and implement federal/state compliance regulations (FINRA, SEC, MA DOL)
- Conduct internal audits and risk assessments across financial products
- Develop/update compliance policies and training programs
- Investigate regulatory inquiries and audit findings
- Collaborate with legal and business teams on compliance frameworks
- Prepare regulatory reports and maintain audit trails
- Lead compliance initiatives for new market entries
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance/regulatory experience in finance
- FINRA Series 24/26 or equivalent certification preferred
- Advanced knowledge of MA financial regulations
- Strong analytical and investigative skills
- Experience with compliance software (e.g., Adenza, Wolters Kluwer)
- Exceptional written/verbal communication skills
- Certified Compliance & Ethics Professional (CCEP) a plus