Compliance Specialist

Masis Professional Group; Boston (MA); On-site; USD 90,000 - 130,000; Full time

Job summary

Masis Professional Group in Boston seeks a hands-on Compliance Specialist to lead and strengthen its compliance program, owning SEC requirements, advising leadership, and building scalable processes in a fast-paced environment.

You'll manage regulatory filings and risk-based testing, coordinate with auditors, and translate federal/state requirements into practical policy and training across the business.

Qualifications

• Strong knowledge of SEC-registered investment adviser requirements and examination practices.
• Ability to interpret regulation and translate into clear policies and controls.
• Experience building scalable compliance processes in financial services.

Responsibilities

• Lead SEC regulatory examinations from preparation to remediation and communications.
• Prepare, review, and submit regulatory filings like Form ADV, CRS, 13F, and 13H.
• Own risk-based compliance testing, internal audits, annual reviews, and firm-wide risk assessment.
• Monitor adherence to the Code of Ethics, manuals, books-and-records, and advisory billing practices.
• Review and escalate trade errors and high-dollar or third-party wire requests per policy.
• Manage IAR registrations, insurance licensing, and continuing education requirements.
• Track regulatory developments and convert them into practical policies and training.
• Serve as a trusted compliance resource to employees and leadership with auditors/regulators.

Skills

SEC regulatory knowledge

Compliance program management

Regulatory filings

Policy development

Communication skills

Attention to detail

Analytical thinking

Education

IACCP or relevant credential

Job description

An established, growing wealth management firm is seeking a hands-on Compliance Specialist to lead and strengthen its compliance program. This is a high-impact role for a compliance professional who enjoys combining regulatory expertise with practical business partnership—owning key SEC requirements, advising leadership, and helping build scalable processes in a fast-paced environment.

What You’ll Own

• Lead SEC regulatory examinations from preparation and document production through responses, communication with exam staff, and remediation.
• Prepare, review, and submit regulatory filings, including Forms ADV, CRS, 13F, and 13H, as applicable.
• Own risk-based compliance testing, internal audits, the annual compliance review, and firm-wide risk assessment; identify gaps and drive corrective action.
• Monitor adherence to the Code of Ethics, Compliance Manual, books-and-records requirements, advisory billing practices, client communications, and investment-related controls.
• Review and escalate trade errors, high-dollar transactions, and third-party wire requests in accordance with firm policies and regulatory requirements.
• Manage Investment Adviser Representative registrations as well as insurance licensing, carrier appointments, renewals, and continuing education requirements.
• Track regulatory developments and translate new federal and state requirements into practical policy, training, and operational changes.
• Serve as a trusted compliance resource to employees and leadership while coordinating information requests with auditors, regulators, and internal teams.

What We’re Looking For

• Strong working knowledge of SEC-registered investment adviser requirements, regulatory filings, books and records, and examination practices.
• Prior compliance experience within financial services, ideally in an RIA or wealth management environment.
• Ability to interpret regulation and turn it into clear, workable policies, controls, monitoring, and corrective actions.
• Excellent judgment, organization, attention to detail, and written and verbal communication skills.
• Proactive, analytical, and comfortable managing multiple time-sensitive priorities with discretion and follow-through.
• Intermediate to advanced computer skills; IACCP or another relevant compliance credential is preferred.

Why This Role

You’ll have meaningful ownership of the compliance function, direct exposure to leadership, and the opportunity to influence how the firm manages risk as it grows. The right person will be both technically strong and pragmatic—someone who can protect the organization while making compliance understandable and actionable across the business.