Fanning Personnel
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Is this your next job Read the full description below to find out, and do not hesitate to make an application. 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 levelAssociate Employment type
Employment typeFull-time Job function
Job functionFinance 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 SpecialistSr. Manager, Legal Operations & Compliance Program Management Waltham, MA $140,000.00-$170,000.00 10 hours ago Senior Consultant - Risk and Compliance – ServiceNow Specialist Cambridge, MA $79,800.00-$150,528.00 5 days ago Boston, MA $111,800.00-$175,670.00 2 weeks ago Business Immigration Analyst (Paralegal) Boston, MA $111,800.00-$175,670.00 2 months ago Senior Lease Compliance & Analysis AnalystSenior Specialist, Pharmacovigilance Quality and Compliance Waltham, MA $112,000.00-$154,000.00 2 weeks ago Principal Compliance Analyst, Global Audit & Monitoring Marlborough, MA $103,700.00-$197,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Is this your next job Read the full description below to find out, and do not hesitate to make an application. 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 levelAssociate Employment type
Employment typeFull-time Job function
Job functionFinance 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 SpecialistSr. Manager, Legal Operations & Compliance Program Management Waltham, MA $140,000.00-$170,000.00 10 hours ago Senior Consultant - Risk and Compliance – ServiceNow Specialist Cambridge, MA $79,800.00-$150,528.00 5 days ago Boston, MA $111,800.00-$175,670.00 2 weeks ago Business Immigration Analyst (Paralegal) Boston, MA $111,800.00-$175,670.00 2 months ago Senior Lease Compliance & Analysis AnalystSenior Specialist, Pharmacovigilance Quality and Compliance Waltham, MA $112,000.00-$154,000.00 2 weeks ago Principal Compliance Analyst, Global Audit & Monitoring Marlborough, MA $103,700.00-$197,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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