Compliance Associate

KBW Financial Staffing & Recruiting; Boston (MA); Hybrid; USD 95,000 - 115,000; Full time

Benefits offered by this job

Bonus

Job summary

KBW Financial Staffing & Recruiting is seeking a Back Compliance Associate Compliance Analyst for a Perm role in downtown Boston. The ideal candidate has 3+ years of wealth management compliance experience and will work closely with the Chief Compliance Officer and Senior Compliance Associate.

This role offers working from home 3 days a week and a compensation range of $95,000–$115,000 plus bonus. The position involves administering the Compliance Management System, reviewing marketing

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.

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.

Skills

Wealth management compliance

Trading-related compliance

Job description

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