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Compliance Analyst for Securities Industry

Job Description

Compliance Analyst
Our Financial Services client is seeking an Analyst for their Compliance Department to assist in the maintenance of a comprehensive enterprise-wide portfolio compliance program for the Firm’s client accounts and products.  This position will be located in their Springfield, MA office, reporting to the Managing Director of Trading Practices and Portfolio Compliance. 


Primary Responsibilities


  • Must successfully monitor all elements of portfolio compliance for investment products related to, among others: public equity and fixed income investments; bank loans, private placements, mezzanine funds, real estate and other structured products and hedge funds.
  • Participate in other department or corporate projects as requested.
  • Resolve and /or recommend to management solutions to portfolio compliance and related issues; provide guidance to business units on relevant compliance issues.   
  • Remain current with regulatory matters related to the industry generally and portfolio compliance specifically and advise management of significant matters.
  • Assist with regulatory examinations, and other internal audits as appropriate.

Job Requirements

  • Minimum 2+ years of investment adviser or financial service experience with emphasis on compliance.  Experience with equity and fixed income assets; private investment funds; open-end mutual funds; bank loans; real estate investments; corporate securities and quantitative funds is also desired.
  • Working knowledge of the provisions of The Investment Company Act of 1940 and The Investment Advisers Act and other applicable federal and state regulations also desired.
  • Experience working with regulatory agencies (e.g., SEC, NASD) and/or a corporate audit environment a plus.
  • Experience in project management and addressing ad hoc data analysis requests.

Other Requirements:
Commitment to duration of assignment/contingency contract
Drug test, background check

Job Snapshot

Base Pay $30.00 - $33.00 /Hour
Employment Type Full-Time
Job Type Finance, Insurance
Education 4 Year Degree
Experience At least 2 year(s)
Manages Others No
Relocation No
Industry Securities, Insurance
Required Travel None
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Compliance Analyst for Securities Industry

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