Job Description
Join our dynamic team as a Compliance Officer in Boston's thriving financial district. You'll safeguard regulatory integrity while driving innovation in a mission-driven organization. Enjoy competitive benefits, hybrid work options, and opportunities for career growth in one of America's most vibrant cities.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations (FINRA, SEC, MA DFR)
- Conduct risk assessments and internal audits for financial products/services
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Monitor industry trends and propose proactive compliance strategies
- Prepare regulatory filings and respond to examiner inquiries
- Liaise with legal counsel and external regulators
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Strong knowledge of MA state and federal regulations
- Advanced analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Proficiency in compliance software (e.g., Compliance.ai, OnGuard)
- Certified Regulatory Compliance Manager (CRCM) preferred