Compliance Advisor Job in Waltham 02453, Massachusetts US
Do you count your communication skills and problem-solving skills at the top of your list of strengths? Do you have a year or two of compliance or financial services experience under your belt—as well as a couple key FINRA registrations to your name? If so, we have an opportunity on our Compliance team that you should know about. The Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.
As a compliance advisor, your responsibilities would include:
- Responding to inquiries from our advisors, as well as home office staff, regarding Commonwealth policies and procedures and industry rules and regulations
- Conducting regular supervision of advisors’ correspondence and their social media presence
- Supporting the Compliance department’s ongoing surveillance programs
- Assisting with regulatory responses and other special projects, as needed
The ideal candidate for this position should meet the following requirements:
· 1-2 years of compliance or financial services experience
· FINRA Series 7 and 24 securities registrations
· FINRA Series 53, preferred, or able to obtain it within three months of employment
· Proficiency with Microsoft Office applications
· Excellent written and verbal communication skills
· Ability to work as a member of a team
· Excellent research and problem-solving skills
If you’re a true team player with a positive attitude and a strong commitment to customer service—and your background matches our requirements for this position—we would like to hear from you.