Senior Compliance Analyst Job at Larson Maddox, Boston, MA

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  • Larson Maddox
  • Boston, MA

Job Description

A Boston-based investment firm is hiring a Compliance Analyst to support global regulatory filings and internal compliance processes. The Compliance Analyst will support the team in many different areas of the compliance program, with tons of room for growth within the organization.

This role will be performed on a Hybrid schedule.

  • Prepare global regulatory filings such as Form ADV & PF
  • Maintain/update policies and procedures in accordance with SEC & NFA rules and regulations
  • Monitor employee compliance (pre-clearances, certifications, conflicts).
  • Analyze forensic reports and support process improvements.
  • Evaluate third-party compliance (vendors, expert networks)

Qualifications:

  • 2+ years in financial services compliance
  • Strong communication and analytical skills.
  • Proficiency in Excel and a process-improvement mindset.

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