Compliance Officer Job at Alexander Chapman, Boston, MA

dDVQbmhnQStRVWp1TkVHUE5KMDJMTEF0SVE9PQ==
  • Alexander Chapman
  • Boston, MA

Job Description

Compliance Analyst – Branch Audits

Location: Malden, MA (Hybrid – 2x per week onsite) | Frequent Travel Required

We are seeking an experienced Compliance Analyst to join our team. This role is key to maintaining regulatory and operational oversight through branch audits and daily compliance supervision.

Key Responsibilities:

  • Conduct frequent on-site branch audits across the US, primarily on the East Coast
  • Perform trade/email reviews and new account approvals, including variable annuities
  • Collaborate with financial advisors and internal teams to resolve compliance issues
  • Support regulatory inquiries and internal/external audits
  • Assist in maintaining compliance policies, procedures, and controls

Qualifications:

  • FINRA Series 7 & 24; Series 66 or 65
  • 7+ years of experience in operational and compliance roles within independent broker-dealers/SEC-registered RIAs
  • Strong knowledge of FINRA/SEC rules and branch audit experience
  • Excellent communication, analytical, and organizational skills
  • Willingness to travel frequently and manage a flexible schedule

Job Tags

Flexible hours,

Similar Jobs

Zotec Partners

Front-End Software Engineer Intern Job at Zotec Partners

 ...extraordinary. We are currently looking for Software Engineer 2025 Summer Interns who want to make an impact. As a Front-End Software...  ...challenged to stretch your expertise in new ways. Youll help develop solutions to healthcare problems by using cloud-native... 

CommonSpirit Health

Emergency Medicine, Physician Assistant Job at CommonSpirit Health

 ...Job Description Responsibilities Position Summary: The Trauma/Acute Care Surgery and Orthopedic Physicians Assistant is responsible for providing care to and coordinating the care of the Trauma Acute Care Surgery and Orthopedic Patients at CHMC and assuring... 

USAA

Multimedia Specialist Senior - Video Creative & Production Team, In-house Agency Job at USAA

 ...Why USAA? At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice. We seek to be the #1 choice for the military community and their families. Embrace a fulfilling career... 

Winn-Dixie Retail Stores

Online Shopper Job at Winn-Dixie Retail Stores

 ...upholding the highest standards of quality in everything we do. Online Shopper Job Purpose Assists the department manager in...  ...Hazardous Assessments are posted for associate reference and that Personal Protective Equipment is available and utilized by all... 

Amazon DSP

Amazon Fulfillment Driver Job at Amazon DSP

 ...work routine without the fluctuations of an on-demand role Company-Provided Vehicle: Drive a reliable and well-maintained company...  ...skills Must be 21 and over Additional Information All your information will be kept confidential according to EEO guidelines....