This global Boston firm is seeking a Compliance Associate to assist with compliance oversight on regulatory filings, procedures of employee-related activities, and the review of marketing materials.
Responsibilities for the Compliance Associate
• Review employee-related activities, i.e., entertainment and political contributions
• Review all marketing materials, informing appropriate party when changes must be made
• Document all employee communications regarding compliance infractions/resolutions
• Help with regulatory filings
Requirements for the Compliance Associate
• 2-4 years’ experience at SEC-registered investment advisor
• Experience with trading compliance system (e.g., ComplySci)
• Clear understanding of securities laws and regulations pertaining to registered investment advisors
Compensation for the Compliance Associate
• Annual salary $80,000-90,000 plus bonus
Reference code: K14209A
Please note that quoted salary ranges are not guarantees of what the final salary offers might be. Our clients base their offers on a range of variables including years of work and industry specific experience, salary history, education level, etc.