Job Description
Join our dynamic Boston-based team as a Compliance Officer with unprecedented flexibility! We offer hybrid work arrangements and customizable hours to support your work-life balance while maintaining rigorous compliance standards. As a key guardian of regulatory integrity, you'll ensure adherence to federal and state regulations within the financial services sector.
Our collaborative environment values innovation and professional growth, providing comprehensive training and competitive benefits including health insurance, retirement plans, and professional development stipends. This role is perfect for detail-oriented professionals seeking impact without sacrificing personal flexibility.
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures accordingly
- Conduct internal audits and risk assessments across financial operations
- Develop and implement compliance training programs for staff
- Investigate potential violations and prepare remediation reports
- Act as primary liaison with regulatory bodies (SEC, FINRA, etc.)
- Maintain accurate compliance documentation and reporting systems
- Advise leadership on emerging compliance risks and mitigation strategies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Massachusetts state regulations
- Relevant certifications (CRCM, CCEP, CAMS) preferred
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficiency with compliance management software (e.g., MetricStream, RSA Archer)
- Ability to manage competing priorities in a fast-paced environment