SCS Financial
Overview
SCS is seeking a Compliance Analyst to join its compliance team. This role offers broad exposure across a dynamic investment advisory firm and the chance to work closely with colleagues at all levels, as well as external partners. The Compliance Analyst will play a key role in supporting the Chief Compliance Officer, contributing to critical initiatives including compliance testing, regulatory filings, the Code of Ethics, and firm-wide training. This role is located in Boston, MA. Primary Responsibilities
Support the Chief Compliance Officer in administering and enhancing the firm’s compliance program. Conduct compliance testing and assist with internal audit projects to ensure adherence to regulatory standards. Oversee elements of the firm’s Code of Ethics, including employee trading reviews and reporting. Prepare, review, and file required regulatory submissions. Assist in the design and delivery of firm-wide compliance training. Maintain compliance records and documentation for audits, examinations, and internal reporting. Analyze large data sets to monitor activities and identify potential issues. Partner with business teams and external stakeholders to address compliance matters. Stay current on regulatory developments and industry best practices. Qualifications
2–4 years of compliance or operations experience with an investment adviser or investment fund manager. Bachelor’s degree in finance, economics, or a related field. Familiarity with compliance requirements under the Investment Advisers Act of 1940 preferred. Strong understanding of wealth management concepts. Excellent organizational, analytical, and problem-solving skills. High degree of professionalism, confidentiality, and attention to detail. Strong written and verbal communication skills. Proficiency in Microsoft Excel, Word, and Outlook. Compensation and Benefits
The annualized base pay range for this role is expected to be between $75,000-$90,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed, and the applicant's skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package. SCS Financial, Focus Partners Family Office and OCIO, is a leading fiduciary wealth and investment management firm that focuses on ultra-high-net-worth individuals, families, and institutions. SCS puts clients’ interests first and helps wealthy families and institutions feel secure and confident in their financial futures. We deliver an integrated approach to family office and investment management, encompassing critical areas across financial planning, multi-asset class portfolio management including private investments, and a powerful technology platform. SCS manages over $42 billion in assets and is headquartered in Boston with additional offices in multiple U.S. cities. Compliance and Legal Notices
For California Applicants: Information on your California privacy rights can be found here. For Indiana Applicants: It is unlawful for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant who is a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component. For Maryland Applicants: It is unlawful to require or demand, as a condition of employment, that any individual submit to or take a polygraph or similar test. Violations are subject to penalties. For Massachusetts Applicants: It is unlawful to require or administer a lie detector test as a condition of employment. Violations may result in penalties and civil liability. For Montana Applicants: If hired, the employment relationship is governed by the Wrongful Discharge from Employment Act. For Rhode Island Applicants: Focus is subject to Rhode Island workers’ compensation law. Providing false information about ability to perform essential functions may bar filing a claim under the Workers’ Compensation Act. The Company complies with the Americans with Disabilities Act. Seniority level
Entry level Employment type
Full-time Job function
Legal
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SCS is seeking a Compliance Analyst to join its compliance team. This role offers broad exposure across a dynamic investment advisory firm and the chance to work closely with colleagues at all levels, as well as external partners. The Compliance Analyst will play a key role in supporting the Chief Compliance Officer, contributing to critical initiatives including compliance testing, regulatory filings, the Code of Ethics, and firm-wide training. This role is located in Boston, MA. Primary Responsibilities
Support the Chief Compliance Officer in administering and enhancing the firm’s compliance program. Conduct compliance testing and assist with internal audit projects to ensure adherence to regulatory standards. Oversee elements of the firm’s Code of Ethics, including employee trading reviews and reporting. Prepare, review, and file required regulatory submissions. Assist in the design and delivery of firm-wide compliance training. Maintain compliance records and documentation for audits, examinations, and internal reporting. Analyze large data sets to monitor activities and identify potential issues. Partner with business teams and external stakeholders to address compliance matters. Stay current on regulatory developments and industry best practices. Qualifications
2–4 years of compliance or operations experience with an investment adviser or investment fund manager. Bachelor’s degree in finance, economics, or a related field. Familiarity with compliance requirements under the Investment Advisers Act of 1940 preferred. Strong understanding of wealth management concepts. Excellent organizational, analytical, and problem-solving skills. High degree of professionalism, confidentiality, and attention to detail. Strong written and verbal communication skills. Proficiency in Microsoft Excel, Word, and Outlook. Compensation and Benefits
The annualized base pay range for this role is expected to be between $75,000-$90,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed, and the applicant's skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package. SCS Financial, Focus Partners Family Office and OCIO, is a leading fiduciary wealth and investment management firm that focuses on ultra-high-net-worth individuals, families, and institutions. SCS puts clients’ interests first and helps wealthy families and institutions feel secure and confident in their financial futures. We deliver an integrated approach to family office and investment management, encompassing critical areas across financial planning, multi-asset class portfolio management including private investments, and a powerful technology platform. SCS manages over $42 billion in assets and is headquartered in Boston with additional offices in multiple U.S. cities. Compliance and Legal Notices
For California Applicants: Information on your California privacy rights can be found here. For Indiana Applicants: It is unlawful for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant who is a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component. For Maryland Applicants: It is unlawful to require or demand, as a condition of employment, that any individual submit to or take a polygraph or similar test. Violations are subject to penalties. For Massachusetts Applicants: It is unlawful to require or administer a lie detector test as a condition of employment. Violations may result in penalties and civil liability. For Montana Applicants: If hired, the employment relationship is governed by the Wrongful Discharge from Employment Act. For Rhode Island Applicants: Focus is subject to Rhode Island workers’ compensation law. Providing false information about ability to perform essential functions may bar filing a claim under the Workers’ Compensation Act. The Company complies with the Americans with Disabilities Act. Seniority level
Entry level Employment type
Full-time Job function
Legal
#J-18808-Ljbffr