What are the responsibilities and job description for the Investment Compliance Analyst position at Masis Professional Group?
INVESTMENT COMPLIANCE ANALYST
As a Senior Recruiter at Fanning- Masis, I assist my client companies- investment/asset/wealth management firms that serve a private wealth and/ or institutional client base- with their candidate recruitment process. These openings span all experience levels and disciplines.
I’m writing to inform you that one of our client companies, a broker- dealer located in Boston, is seeking a Compliance Analyst. Reporting directly to the CCO, this individual will be given the opportunity to work on an array of Compliance program tasks including trade activity review, advertising/sales literature review, conducting email, instant messaging, social media, and other electronic communication surveillance, working with Branch Managers on investigations involving trading activity in their respective branches, assisting with performing annual supervisory controls and verification testing, researching and responding to regulatory information requests, etc.
This role is a FANTASTIC opportunity for a licensed individual (Series 7, 24, 63, and/ or 66) who offers 2 years of experience in a Compliance- themed role at a broker dealer or investment advisor.
Compensation includes a base salary in the $80K- $100K range, depending on experience, plus a full suite of benefits
If you are qualified and interested in pursuing this role, please send your updated resume to adamc@fanning-boston.com
Adam Cordeiro
Senior Recruiter
Fanning, a division of Masis Staffing Solutions, LLC
Salary : $80,000 - $100,000