Fanning Personnel
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An Investment Management firm is seeking a Compliance Analyst to help ensure the regulatory compliance for the firm.
The Associate will work on a close knit team to ensure all compliance requirements and activities at met.
Role Responsibilities;
Conduct on-site/Remote branch reviews, daily trade blotter review and approval, review, investigate all daily trade summary.
Review and approve advertising and sales literature
Investigate potential violations of industry and firm policies.
Monitor firm and regulatory element continue education training.
Keep abreast of changes in regulatory rule and guidelines
3+ years within compliance, risk, with a broker-dealer or Investment advisor
Series 7, 24 and 66 or 63 REQUIRED
This person should possess the ambition to develop and implement strategies, and improve processes and procedures as well as have the desire to keep abreast of regulatory changes.
Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Finance Referrals increase your chances of interviewing at Fanning Personnel by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Get notified when a new job is posted. Sign in to set job alerts for “Compliance Analyst” roles.
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Seniority level Associate Employment type
Employment type Full-time Job function
Job function Finance Referrals increase your chances of interviewing at Fanning Personnel by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Get notified when a new job is posted. Sign in to set job alerts for “Compliance Analyst” roles.
Boston, MA $70,000.00-$75,000.00 1 hour ago Boston, MA $84,000.00-$126,000.00 2 weeks ago Boston, MA $125,000.00-$134,000.00 2 days ago Regional Compliance Specialist (Boston HQ)
Waltham, MA $129,000.00-$162,000.00 3 weeks ago Senior Compliance Officer – Marketing Review
Boston, MA $140,000.00-$175,000.00 2 weeks ago Boston, MA $114,400.00-$153,300.00 3 weeks ago Boston, MA $70,632.76-$117,721.27 2 weeks ago Ethics & Compliance Business Partner, Global Corporate Functions
Cambridge, MA $174,500.00-$274,230.00 6 days ago Internal Audit/SOX Compliance Analyst II
Marlborough, MA $69,200.00-$86,500.00 3 weeks ago Westwood, MA $84,000.00-$120,000.00 9 hours ago MassHealth Regulatory Compliance & Audits Specialist
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