Compliance Analyst

Boston  ‐ Onsite
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Description

This individual will provide dedicated compliance oversight to business units focused on investment adviser/institutional products. Includes review and approval of marketing materials and advertising. Supervise and assist the preparation and maintenance of certain regulatory and insurance filings.

Primary Responsibilities:
  • Review and approve investment adviser/institutional marketing material and advertising.
  • Prepare, maintain and monitor Forms ADV on behalf of the firm and its affiliates.
  • Prepare, maintain, and monitor federal filings SEC registered investment advisers.
  • Monitor changes in federal and state securities law and make appropriate recommendations/decisions and adjustments regarding any such change as they relate to the firm's registered investment advisers.
  • Act as liaison with state and federal regulators regarding the foregoing.
  • Act as liaison with internal clients regarding investment adviser/institutional business units' compliance with firm policies and procedures.
  • Assist with the preparation, maintenance and monitoring of firm's insurance policies.
  • Support and assist on other topics and special projects when needed in the Legal Department and other related departments within the firm.


Job Requirements:
  • Bachelor's Degree.
  • 1-3 years related industry experience.
  • Minimum 1 year advertising compliance experience.
  • Strong verbal and written communication skills.
  • Must have strong organizational skills.
  • Must have extraordinary attention to detail.
  • Practice and maintain logical decision making processes.
  • Must be a team player.
  • Ability to work efficiently and independently.


Please contact Matthew Gallira with Huxley Associates for further detail.

To find out more about Huxley Associates please visit www.huxley.com
Start date
06/2013
From
Huxley Associates
Published at
29.05.2013
Project ID:
543009
Contract type
Permanent
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