Job Description
Join our dynamic team as a Part-Time Compliance Officer in Boston's thriving financial district. We're seeking a meticulous professional to ensure regulatory adherence while supporting our mission of ethical financial operations. This flexible role offers the perfect opportunity to make a significant impact without a full-time commitment.
Our ideal candidate will thrive in a fast-paced environment, bringing expertise in regulatory frameworks and a passion for risk mitigation. You'll collaborate with cross-functional teams to implement compliance programs and stay ahead of evolving industry standards.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, MA state laws) and update compliance policies
- Conduct internal audits and risk assessments for financial products/services
- Prepare compliance reports for senior management and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential compliance violations and recommend corrective actions
- Maintain accurate compliance documentation and audit trails
- Collaborate with legal team on regulatory filings and disclosures
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in financial services
- FINRA Series 63/65/66 or equivalent MA state licenses
- Proficiency with compliance software (e.g., NASD Compliance, ComplianceEase)
- Strong analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Detail-oriented with meticulous documentation habits
- Ability to work independently with minimal supervision