Job Description
Join Boston Financial Group's dynamic compliance team as a Part-Time Compliance Officer. This critical role ensures adherence to federal regulations and internal policies while supporting our mission to deliver exceptional financial services in the Greater Boston area. Work with industry experts in a collaborative environment that values integrity and innovation.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, MA DFI) and implement compliance protocols
- Conduct routine audits and risk assessments for financial products
- Prepare and maintain compliance documentation and training materials
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and operations teams on compliance initiatives
- Report compliance metrics to senior management
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses (or ability to obtain)
- Strong knowledge of MA state regulations
- Advanced proficiency in compliance software (e.g., Smarsh, Actimize)
- Excellent analytical and communication skills