Compliance Associate
$95k - $115kKBW Financial Staffing & Recruiting
Back Compliance Associate Compliance Analyst (KBW) Perm 95000 Sep 11, 2026 $95000.00 - $115000.00 Our Wealth Management client in downtown Boston is seeking a Compliance Associate to join its small, collaborative compliance team and work closely with the Chief Compliance Officer and Senior Compliance Associate. Our client would like someone with 3+ years of experience in an RIA, wealth management, or investment management environment. This role offers working from home 3 days a week. Responsibilities Assist with administration of the firm's Compliance Management System, including Code of Ethics certifications, quarterly/annual reviews, gifts, political contributions, personal trading pre-clearance, and marketing reviews. Review marketing materials, presentations, and website content; maintain marketing logs and compliance approvals. Monitor and review proxy voting, including daily exception follow-up, quarterly reviews, and annual Form N-PX reconciliation. Assist with custody procedures, including quarterly and annual monitoring and back-testing. Create, update, and monitor portfolio compliance rules and restrictions. Perform trading-related compliance reviews, including trade dispersion analysis and other reviews of firm trading activity. Assist with regulatory filings Assist with books and records maintenance and retention in accordance with the firm's Compliance Manual. Support documentation and onboarding procedures for private placements. Support the CCO with regulatory research, new rule implementation, and other firm projects. Qualifications 3+ years of wealth management, RIA, or investment management compliance experience. Experience with trading-related compliance, investment compliance, trade review, or portfolio compliance. Familiarity with publicly traded securities. Comp- $95K-115K + Bonus 3 days from home #LI-JS1 #J-18808-Ljbffr KBW Financial Staffing & Recruiting
- ...Private Placement Life Insurance and Annuities, and Corporate-Owned Life Insurance portfolios. Position Summary: The Associate, Compliance and Licensing provides critical operational support for the firm's compliance and licensing functions across both broker-dealer...SuggestedFull timeWork at officeFlexible hours
Winged Keel Group
Boston, MA29 days ago $75k
...Description Job Description Peabody Properties, a well-established leader in housing is seeking an Administration and Compliance Support Associate. This role provides comprehensive support to the Senior Director, ensuring the organization remains in full alignment...SuggestedWork at officeLocal areaPeabody Properties, Inc.
Quincy, MA15 days ago$90k - $200k
...Investigations Kroll's North American Investigations, Diligence and Compliance practice is seeking a Senior Manager based in the U.S. This is... ...'s expert resources. Oversee and review the quality of Associates, Associate Managers, and Managers research and analysis on the...SuggestedTemporary workFlexible hoursKroll
Boston, MA2 days ago$110k - $145k
...Health And Welfare Benefits Compliance Specialist TELUS Health is empowering every person to live their healthiest life. Guided by our vision, we are leveraging the power of our leading edge technology and focusing on the uniqueness of each individual to create the...SuggestedWork at officeFlexible hoursLifeWorks by Telus
Boston, MA2 days ago- ...Compliance Officer I About the Organization: The Division of Standards (DOS), an Agency within the Office of Consumer Affairs and Business Regulation (OCABR), is responsible for enforcing the accuracy requirements and other standards relating to commercial weighing...SuggestedFull timeWork at officeLocal area
Northern Essex Community College
Boston, MA3 days ago $80k - $150k
...structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role Position Overview The Compliance Analyst will support Wellington Management’s broker dealer compliance program. The Compliance Analyst will be a member of...Full timeRemote workFlexible hours1 day per weekWellington Insurance Group
Boston, MA4 days ago- ...Mid-sized global asset manager in Boston is looking for two compliance officers. Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in. Position Overview: The Compliance Officer will be a member of the global...
CERES Group
Boston, MA14 hours ago $65k - $75k
...Compliance Analyst Boston Partners is a global investment advisor with $140 billion in AUM and a longstanding reputation for superior client service. The organization is a premier provider of value equity investment products that are firmly rooted in fundamental research...Work at officeBoston Partners Global Investors, Inc.
Boston, MA1 day ago- ...Environmental Transactional & Regulatory Associate Attorney Direct Counsel is seeking an Environmental Transactional & Regulatory... ...respected team handling environmental transactions, regulatory compliance, permitting, remediation, and enforcement matters. The role offers...Local areaRemote work2 days per week
Direct Counsel
Boston, MA2 days ago - ...within a highly regulated environment. • She/he also ensures that compliance standards are met for receipt and delivery of information to... ...filing dates are impacted.• Coordinate publishing tasks associated with assigned submissions, including peer review of submissions...Immediate start
Artech
Cambridge, MAa month ago $200k - $246k
...Description Job Description Healthcare Regulatory Career Associate Attorney Direct Counsel is seeking a Healthcare Regulatory... ...technology, and digital health companies on complex regulatory and compliance matters. Responsibilities Advise healthcare, health...Temporary workWork at officeFlexible hoursDirect Counsel
Boston, MA23 days ago- ...A leading international economics consulting firm is seeking a Compliance & Client Response Analyst to join its Boston-based team. The Compliance Analyst works closely with the Compliance Team to organize, manage, and support the firm’s compliance efforts. These efforts...Work at officeFlexible hoursShift workBoston, MAa month ago
- ...workers who are unemployed through no fault of their own and who are able to work, available for work and looking for a job.The Compliance Officer conducts desk audits, investigations, and compliance reviews of businesses to ensure compliance with Unemployment Insurance...Full timeContract workTemporary workPart timeWork experience placementWork at officeRemote work1 day per week
State of Massachusetts, USA
Boston, MA22 days ago - ...for Community Support, Non-Discrimination, Rights and Responsibilities (CSNDR) and University Title IX Coordinator, the Associate Director for Compliance and Title VI Coordinator is responsible for oversight of the University's compliance with Title VI, as well as overall...Work at officeLocal area
Harvard University
Cambridge, MA3 days ago $33 - $35 per hour
...Job Description Job Description Corporate Compliance Specialist Location: Boston, MA Job Type: Full-Time Work Arrangement: Hybrid – 3 Days Onsite / 2 Days Remote Compensation: $33-$35/hr Reports To: Senior Director of Compliance Make an Impact...Full timeWork at officeRemote workTrinity Management Llc
Boston, MA17 days ago$86.5k - $98k
...government organizations design and deliver compensation, benefits, pension, and health management programs that work. As our Regulatory Compliance Specialist, you'll translate complex federal and state requirements into actionable solutions that protect millions of plan...Work at officeFlexible hours$80k - $90k
Title: Regulatory Affairs Associate Reporting to: Regulatory Affairs Manager We are seeking a highly motivated and results-driven Regulatory... ...the registration and commercialization of medical devices in compliance with global regulatory requirements. Prepare and submit...Full timeLocal areaRemote work- ...Regulatory Associate We are seeking a detail-oriented Regulatory Associate to join our Regulatory Affairs team. In this role, you... ...development and submission of regulatory documents, ensuring compliance with all regulatory standards, and facilitating the approval process...Work at office
Cedent Life Talent
Boston, MA1 day ago - Overview A law firm seeks a Healthcare Regulatory Associate Attorney in Boston, Massachusetts. This role involves providing regulatory... ...filings for healthcare regulatory matters. Advise clients on compliance obligations for regulated entities. Support in maintaining state...Temporary workWork at officeFlexible hours
$196k - $270k
...largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly. About This Role: As a Compliance Officer, you will uphold and promote ethical integrity within Biogen's US business. Your expertise will ensure that our business...Full timeTemporary workWork at officeLocal areaBiogen
Cambridge, MA1 day ago- ...service within the International Trade Group. The position covers filings, responses, and document management for AD/CVD investigations and associated agency processes and requires a bachelor’s degree and knowledge of trade regulations. #J-18808-Ljbffr Crowell & Moring
- ...stops. The role applies state law, SOPs, and MBTA policies to confirm violations before issuance, ensuring accuracy, equity, and compliance. Duties include evidence review, documentation, and coordination with MBTA stakeholders. The candidate must have at least a high...
$120k - $180k
...this application due to a disability, contact this employer to ask for an accommodation or an alternative application process. Compliance Officer FullTime Newton, MA, US Organization RWA Wealth Partners is a boutique wealth management firm that provides customized solutions...Full timeLocal area- Job Description Job Description Job Description We have multiple openings for Life Science Quality Assurance Analysts, Regulatory Affairs Specialist, and Quality Control Analysts. All of these roles will interface with clients on different projects to provide consulting...H1bRelocationRelocation package
WHITE COLLAR TECHNOLOGIES INC
Boston, MA15 days ago $86.32k - $129.48k
Ahold Delhaize USA is seeking a Compliance & Ethics Support professional to enhance organizational accountability and support compliance programs. This position involves collaborating with various stakeholders and ensuring adherence to federal, state, and local regulations...Local areaRemote work$310k - $420k
...merging legal market! Title: ~ Privacy & Cybersecurity Associate Attorney (Mid-level/Senior) Practice Area : ~ Global Data... ..., Incident Response & Information Security Regulatory Compliance Location: ~ Washington, D.C., New York, NY or Boston,...Full timeFixed term contractFlexible hoursPercy Towers
Boston, MA25 days ago- ...independent and critical thinking. This role is part of the compliance team, contributing to the core function of mitigating risk and... ...the identification of risks within the organization, testing associated controls, and reporting on the results. Key Requirements Proven...
$19.96 - $26.41 per hour
...Administration Collections Division 109 Pleasant Street Concord, NH 03301 Compliance Officer I Position #14495 $19.96/hour - $26.41/hour See total... ...selected and the bargaining unit with which a position is associated. See this link for details on State-paid health benefits...Full timeContract workTraineeshipWork experience placementLocal areaFlexible hours- A Boston-based investment management firm is seeking an experienced Compliance Officer to join its growing team. This role reports directly to the Chief Compliance Officer and will play an important role in supporting and enhancing the firm’s compliance program. The firm...
- A prominent retail corporation is seeking a Compliance Licensing Coordinator in Quincy, MA. The role involves managing and processing licenses... ...regulatory agencies. Successful candidates will possess an Associate's Degree and have strong communication, organizational, and...Remote work
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