Compliance Associate - Up to $90K

Boston, MA 02110

Posted: 08/21/2019 Employment Type: Direct Hire Specialty: Legal & Compliance Job Number: 84451

A leading law firm in Boston, MA is seeking a Compliance Associate to join their team. As the Compliance Associate, you will work within a small team performing multiple functions related to compliance with applicable laws and rules. The nature of this position results in significant exposure to the SEC, rules and regulations and audit processes.

The ideal candidate will be resourceful, possess a strong ability to manage regulatory deadlines and routinely prioritize multiple, ongoing projects. Apply today!

Compensation: Up to $90K

Responsibilities for the Compliance Associate:
  • Partner with the Chief Compliance Officer for SEC Reporting, compliance and other assigned tasks
  • Participate in the SEC exam process, including any related follow-up initiatives
  • Uphold the timely submission of federal and state regulatory filings and registrations ensuring the firm is in compliance with applicable regulatory requirements,
  • Maintain compliance calendar
  • Aid with the annual SEC Rule 206 audit
  • Administer, report on, and respond to employees’ questions regarding the firm’ s pre-clearance policy
  • Monitor and report on access group trade activity, resolving any alerts or violations
  • Maintain and distribute Restricted Securities List and manage Open Period communications
  • Maintain compliance policy documentation and databases
  • Maintain data and report on key compliance related activity including: non-discretionary trading, best execution, and soft dollars allocations/expenditures
  • Remain proficient and adept on changes in laws and regulations and ensure that appropriate changes are communicated and implemented
  • Liaise with Trustees
  • Assist in other Compliance and Risk monitoring functions
Requirements for the Compliance Associate:
  • 2-4 years’ experience in a compliance role working in a legal, banking or fiduciary services environment
  • Knowledge of 1940 Advisors Act preferable
  • Bachelor’ s degree and relevant, demonstrated job experience
  • Knowledge of fiduciary trust or investment business is preferred
  • Top-quality computer competencies--MS Excel and Word, PowerPoint, Outlook, and the ability to learn and adapt easily to new software applications
  • Strong organizational skills with great attention to detail
  • Strong multi-tasking and prioritizing skills with the ability to meet deadlines
  • Excellent written and verbal communication skills
  • Strong interpersonal skills with a customer service focus
  • Ability to work independently and as part of a team
  • Must be eligible to work in the U.S. without sponsorship  
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