Senior Trade Review & Compliance Analyst
Jobtailor
Jobtailor is seeking a seasoned compliance and trade-review professional with deep brokerage industry experience to ensure adherence to FINRA/SEC rules for client accounts and to perform critical primary trade reviews, including annuity purchases. The role involves coordinating account reviews, supporting regulatory exams, maintaining supervisory procedures, and delivering dashboard reporting to monitor department activities and drive process improvements. #J-18808-Ljbffr Jobtailor
Vacancy posted 11 hours ago
Similar jobs that could be interesting for youBased on the Senior Trade Review & Compliance Analyst in Boston, MA vacancy
- TD Bank Group (TD) is seeking a Principal Review Analyst for regulatory oversight with TD Private Client Wealth. This role focuses on reviewing brokerage and advisory business to ensure compliance with FINRA and SEC regulations. Ideal candidates will have a college degree...Senior
- RBC Capital Markets, LLC is seeking a Senior Marketing Compliance Analyst to support their compliance framework in Boston. You will be responsible for... ...adhere to regulatory standards, executing compliance reviews, and collaborating with various teams. The ideal candidate...Senior
$80k - $150k
Wellington Management is seeking a Trade Surveillance Analyst to support the firm’s global Trade and... ...assessing potential violations through the review of trading activity and collaborating... ...experience in trade surveillance or compliance. The position comes with a...SuggestedWork at officeRemote workFlexible hours1 day per week$150k - $200k
...Franklin Templeton Compliance Role At Franklin Templeton, we believe... ...debt funds, and exchange-traded funds (ETFs), ensuring adherence... ...Conduct periodic compliance reviews and testing of key controls.... ...discretionary bonus. #MID_SENIOR_LEVEL At Franklin Templeton...SeniorLocal area3 days per weekFranklin Resources, LLC.
Boston, MA2 days ago- Kforce Inc. is seeking an Audit/Compliance Analyst IV in Boston, MA to review transactions for policy alignment and support regulatory functions. You will monitor inquiries, gather documentation, and prepare standardized reports for leadership. Ideal candidates have a Bachelor...Senior
- ...HIGH-LEVEL OVERVIEW The Global Trade Compliance Coordinator is responsible for managing daily import and export transactions and supporting... ..., customs brokers, and CBP on import and export matters Review product information to assign HTS and ECCN and country of...Work at officeRemote work
Trade Compliance Recruiting Solutions
Boston, MA7 days ago $80k - $180k
...overview The Senior Compliance Analyst will support Wellington Management’s global investment & trading compliance program, focusing primarily on... ...to projects and strategic initiatives Reviewing regulatory developments and assisting with...SeniorRemote workFlexible hours1 day per week- A global asset management firm based in Boston is seeking a Portfolio Compliance professional to support regulatory oversight and trade compliance activities. The successful candidate will monitor trade activity, assist with compliance programs, and collaborate with multiple...
- Responsibilities Reviews and approves new account documentation to ensure adherence to... ...regarding client accounts Performs all primary trade reviews for appropriateness, including... ...annuity purchases regulatory compliance dashboard reporting workflow enhancement...
- Wex is seeking a Regulatory Compliance Analyst 4 to coordinate Corporate Compliance activities. This role requires managing compliance-related processes, advising employees, and enhancing an ethical culture across the organization. The ideal candidate will have extensive...Senior
- ...Boston, Massachusetts, is seeking a Licensed Practical Nurse to review patient charts and ensure accurate records. The ideal candidate... ...time off, making it a great opportunity to impact the lives of seniors while maintaining work-life balance. #J-18808-Ljbffr MedElite...Senior
- A regional financial institution is seeking a Compliance Specialist III responsible for preparing and reviewing compliance filings, mentoring team members, and maintaining regulatory standards. The ideal candidate should have an Associate's degree with over 5 years of experience...SeniorFull timeFlexible hours
- A leading publishing firm is looking for experienced peer reviewers to assess academic manuscripts. Candidates must hold a doctorate or equivalent degree and have at least two recent publications in their field. Responsibilities include evaluating originality, study design...Senior
- Dormont Manufacturing Co is seeking a Senior Director, Head of Medical Review for its Boston, MA office. The candidate will oversee medical assessments and ensure compliance with regulations in pharmacovigilance. With a strong focus on leadership and strategic oversight...SeniorWork at office
- Mass General Brigham Incorporated is looking for a Senior Nurse Reviewer responsible for coordinating clinical charge audits and appeal processes. The role demands strong analytical skills and experience in clinical nursing and quality assurance. This is a remote position...SeniorRemote job
$56.25k - $92.5k
...Santander SA is seeking a Sr. Specialist, Bloomberg System Configuration & Trade Support Analyst in Boston. This role is critical for supporting trading activities and ensuring regulatory compliance. The successful candidate will configure Bloomberg systems, manage trade...Senior- VDart Inc is hiring a Business Analyst in Boston, MA, to bridge business stakeholders and data teams while ensuring data quality. The ideal... ...in the investment domain, with strong knowledge of the trade lifecycle and data reconciliation. Responsibilities include engaging...SeniorFull time
- Klaviyo is seeking a Compliance Operations Analyst to monitor and investigate compliance operations while enhancing customer experience. Your role will involve collaborating with cross-functional teams and managing anti-abuse signals effectively. The ideal candidate will...Senior
$184k - $230k
National Geographic is seeking a Senior Lead Trading Strategist in Boston. This role involves designing low-latency market-making systems and requires at least 7 years of experience in quantitative modeling and algorithmic development. Candidates should have proficiency...SeniorRemote work- TD Bank Group (TD) is seeking a Principal Review Analyst to ensure compliance with FINRA and SEC regulations. Responsibilities include reviewing account documentation and coordinating regulatory compliance activities. The ideal candidate will have a college degree and at...Senior
$81.7k - $135k
...Title Tax - Indirect Tax - Global Trade Thomson Reuters ONESOURCE - Senior The Opportunity EY’s Global Trade... ...trade costs, manage risks, ensure compliance, and improve trade operations, including... ...design workshops. Develop and review software implementation work products...SeniorWork experience placementSummer holidayWorldwideFlexible hours$70k - $95k
...Job Description Tax Senior/ Reviewer A boutique full-service tax preparation firm - handling everything from simple individual returns to more complex small business, S-corporation, estate, and trust returns - our client is seeking a talented Tax Senior/...SeniorFull timegpac
Boston, MA4 days ago- ...seeking an experienced Quantitative Researcher to join the Financial Engineering team in Boston, focusing on statistical models for trading applications. The role involves developing analytics and supporting our fixed income services, applying advanced techniques to...Senior
- Ernst & Young Oman is looking for a Senior in their Global Trade practice who will leverage their experience in Thomson Reuters OSGT to manage... ...collaboration with clients to enhance trade operations and ensure compliance. Candidates should have a bachelor’s degree and at least...Senior
$52k - $94.12k
Overview We are looking for a Senior Associate for our Quincy location to service Private Equity Clients for our Custody division... ...for Manage daily process for all applicable clients Review aged failing trades and expedite resolution Interact with client counterparties...SeniorTemporary workFlexible hours- Boston Energy Trading and Marketing LLC is seeking a senior analyst to administer, optimize, and support enterprise applications across Energy Trading, Power Generation/Scheduling, Risk Management, and Operational Management. You will translate business needs into technical...Senior
- ...Compliance Analyst Responsibilities Compliance Program Support: Support the... ...procedures Perform compliance reviews and testing procedures as... ...and monitoring of personal trading, gifts and entertainment, outside... ...of the firm (including senior management) on sensitive matters...Flexible hours
TA Realty LLC
Boston, MA20 hours ago $97.75k - $115k
...A leading asset management firm is seeking a Compliance Analyst to support portfolio compliance activities. Responsibilities include daily monitoring of trades, maintaining compliance programs, and preparing reports. Applicants should have 2-4 years of experience in compliance...Flexible hoursVictory Capital Management
Boston, MA4 days ago- ...estate investment trust (REIT) is seeking a Compliance Analyst to join its growing compliance team.... ...processes. Conduct periodic compliance reviews, testing, and monitoring activities.... ...compliance reporting, including personal trading, gifts and entertainment, outside...
BNG Consulting Inc
Boston, MA3 days ago $116.71k - $175.06k
AstraZeneca in Boston seeks a Medical Review expert to ensure quality in promotional and medical materials. The role demands deep knowledge in pharmacotherapy and patient outcomes, significant experience in the biotech industry, and strong communication skills. Competitive...Senior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Trade Review & Compliance Analyst. Be the first to apply!
Related searches
- financial compliance analyst Boston, MA
- senior regulatory affairs specialist Boston, MA
- regulatory affairs consultant Boston, MA
- regulatory compliance specialist Boston, MA
- trade compliance specialist Boston, MA
- legal compliance analyst Boston, MA
- research compliance officer Boston, MA
- regulatory specialist Boston, MA
- coding compliance specialist Boston, MA
- information security compliance analyst Boston, MA