Compliance Analyst – Boston, MA
We are currently seeking candidates for a Compliance Analyst opportunity with a highly successful and well-respected Investment Management firm located in Boston, MA. The Compliance Analyst will work closely with Corporate Compliance, Distribution Compliance, and Code of Ethics teams, and will be responsible for data management, researching and resolving discrepancies, and performing reporting.
This is a 6+ month contract position, paying between $20-$25/hour (depending on experience).
Responsibilities:
- Assist with the Corporate Compliance group's procedures and the company's Code of Ethics teams by leveraging knowledge of securities markets and brokerage functions.
- Enter data from broker statements into the Code of Ethics systems, ensuring accuracy and timeliness.
- Investigate and resolve data discrepancies with brokers.
- Deliver periodic compliance reports on a daily, monthly, and quarterly basis.
- Address employee inquiries related to brokerage data and statement issues.
- Reconcile broker accounts and data, identify discrepancies, and suggest solutions.
- Work closely with Distribution Compliance team and utilize understanding of anti-money laundering, the USA Patriot Act, and OFAC regulations in performing day-to-day responsibilities.
- Examine and resolve alerts related to sanctions. Review and address alerts for high-risk transactions.
- Coordinate searches for newly announced OFAC sanctions.
- Support special projects.
Qualifications:
- Bachelor’s degree in a relevant field (Finance, Economics, Business, etc.).
- 1-2+ years of relevant experience in financial services.
- Knowledge of securities markets, financial transactions, and compliance and regulatory functions.
- Previous experience with investigations tools, including public and proprietary record searches, sanctions and OFAC screening, AML/KYC and adverse media searches preferred.
- Experience with Anti-Money Laundering (AML), USA Patriot Act, and OFAC regulations preferred.
- Proficiency in Microsoft Office Suite (Word, PowerPoint, Excel, Outlook)
- Excellent communication and interpersonal skills
- Detail-oriented, intellectually curious, and self-motivated
For immediate consideration, interested and qualified candidates should send their resume to Allie at [email protected].
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