Job Description
Join Boston Financial Group as a Part-Time Compliance Officer and play a pivotal role in safeguarding our regulatory integrity. This flexible opportunity allows you to work 20-25 hours weekly while contributing to a dynamic financial services environment. You'll collaborate with senior leadership to ensure adherence to federal and state regulations, making a tangible impact on our operational excellence.
Our Boston-based firm offers competitive compensation, hybrid work options, and a culture that values professional growth. Ideal candidates seeking work-life balance without compromising career advancement will thrive in this position.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, MA state laws) and update compliance policies accordingly
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Prepare detailed compliance reports for executive stakeholders
- Investigate potential violations and recommend corrective actions
- Manage compliance documentation and retention protocols
- Collaborate with legal team on regulatory filings and inquiries
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 certification preferred
- Advanced knowledge of MA state and federal regulations
- Exceptional attention to detail and analytical skills
- Strong written/verbal communication abilities
- Proficiency with compliance software (e.g., ComplianceEase, Diligent)
- Ability to work independently with minimal supervision