Compliance Officer Job at Alexander Chapman, Boston, MA

N3Jwa05OazJhbS9WNDV6S1l2QzdSRklXSHc9PQ==
  • Alexander Chapman
  • Boston, MA

Job Description

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

Ardent Health

Monitor Tech Job at Ardent Health

 ...Join our team as a day shift, full-time, Monitor Tech in Owasso, OK. Why Join Us? Thrive in a People-First Environment and Make Healthcare Better Thrive: We empower our team with career growth opportunities, tuition assistance , and resources that support... 

Essentia Health

Medical Laboratory Technician or Scientist Job at Essentia Health

 ...phlebotomy and specimen processing duties and will participate in research, development, education, and technical consultation....  ...MLT: $24.21-$36.32 Graduate of an associates degree in Medical Laboratory Technician OR Meets Clinical Laboratory Improvement... 

Tactile Medical

Patient Education Consultant Job at Tactile Medical

Overview: The Patient Education Consultant is responsible for conducting demonstrations and trainings with current and potential Tactile Medical...  ...to lift 20 pounds on a regular basis Ability to work remotely and travel to patients in a home, clinic or virtual... 

OnSite Dermatology

Dermatology Nurse Practitioner Job at OnSite Dermatology

 ...Join our dedicated team as a Dermatology Nurse Practitioner, where you will play a vital role in the diagnosis and treatment of a wide range of dermatological conditions. Your responsibilities will include: Conducting thorough physical assessments, diagnosing... 

Headway

LPC (Virtual) Job at Headway

 ...LPC (Virtual) at Headway summary: A Licensed Professional Counselor (LPC) with a Master's degree or higher provides mental health counseling through private practice, facilitated by Headway's platform to accept insurance and increase access to care. The role involves...