Regulatory Compliance Leader — Wealth Management

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

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.