Compliance Analyst to $55K – World Renowned Firm!! (F65539-RHC) Boston, Massachusetts
|Salary:||USD0 - USD55000 per year|
We are currently assisting our client, a global investment firm, in their search for a Compliance Analyst to join their Boston office! Responsibilities of this position will include maintaining the restricted and watch lists, including processing approved additions and removals, quarterly reconciliations and researching company affiliations; validating electronic business unit and brokerage firm transmissions; managing vendor and brokerage firm relationships; and assisting team leader in responding to internal and external auditors and consultants; tracking employee gifts and entertainment, training session attendance, political donations, and conflicts of interest; serving as a backstop to other infrastructure and monitoring processes. The ideal candidate must have 1-3 years of compliance, audit, or risk management experience is a plus; experience with Investment Advisory laws and rules (‘40 Act), as well as other securities related laws and rules (‘33 and ‘34 Acts); prior hands on compliance experience in at least one of the areas outlined above: either in a compliance function at an investment bank or institutional investment manager; or regulator in the securities industry; and proficiency in Microsoft Office products (Access, Excel, Outlook, Word).