Compliance Analyst at KBW Financial

Top Investment firm in Boston is looking for a Compliance Analyst to be a member of the Code of Ethics team. This candidate will work with the Legal, Compliance and Risk group as this team is responsible for the administration of the firms Code of Ethics, Ethical Conduct, Conflict of Interest and outside activity. 

RESPONSIBILITIES

• Responding to questions from employee regarding the Firm’s Code of Ethics Policies/Program

• Supporting process, system and data dependent elements of the Code of Ethics program

• Collaborating with EMEA and APAC compliance colleagues, Operational Risk, and Internal Audit to drive coordinated outcomes in the above areas

• Support other key Legal, Compliance and Risk Group initiatives

• Developing and conducting regulatory training to the business in the areas described above

• Help the team respond to regulatory inquiries or examinations in these areas, as appropriate

• Serving as a point of escalation for our offshore colleagues

• Create and maintain operational procedures

QUALIFICATIONS

• Undergraduate degree, preferably in finance, business or other relevant field; MBA, Masters

• At least 1 year of experience with compliance, operational or business controls for an investment advisor

• Excellent organizational skills with the ability to prioritize, exercise strong business judgment and work under pressure

• Strong analytical problem solving skills

• Global mindset

• Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms

• Past experience with Power BI for data analysis and visualization helpfuk

Hourly Rate $40-$42 per hour 
Hours are 830-5pm
Hybrid



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