Hybrid Compliance Analyst – Broker-Dealer & Training
cfa instituteEast Boston, MA
Hybrid Compliance Analyst – Broker-Dealer & Training
cfa instituteEast Boston, MA
yesterday
Occupations
Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesMiscellaneous IntermediationAbout the role
Wellington Management seeks a Compliance Analyst to support the broker-dealer compliance program within the Legal & Compliance group. You will assist with policies, procedures, registrations, and regulatory testing to ensure adherence to FINRA rules and the Investment Advisers Act.
The role requires 2–4 years of broker-dealer compliance experience, a bachelor's degree, and strong communication skills. The firm emphasizes a collaborative culture and offers a broad benefits package in a hybrid
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JOB OVERVIEW
Experience level
Mid
Location
East Boston, MA
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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