Senior Compliance Officer

$100,000 to $125,000 + bonus

This global, full-service, independent brokerage and investment bank seeks dynamic candidates to join their Compliance team located in Boston, MA.

Duties will include:

-Maintaining internal Watch and Restricted lists

-Reviewing research publications with respect to the internal Watch list to ensure compliance with regulatory obligations

-Chaperoning meetings between Research and Investment Banking

-Providing guidance to departments in respect for permissible interactions with research analysts

-Control room related look-back testing

Qualified candidates should have:

-BA or BS degree

-At least 3-5 years of broker/dealer compliance, FINRA or SEC experience

-Control Room compliance experience is a plus

-Series 7 & 24 or the ability to pass the exams within 90 days of hire

-Excellent written and verbal communication skills

Please submit your resume as a Word document to:

*AN EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER*

*See above