Compliance Analyst bei SCS Financial
SCS Financial · Boston, Vereinigte Staaten Von Amerika · Onsite
- Professional
- Optionales Büro in Boston
Position Summary
SCS is seeking a Compliance Analyst to join its compliance team. This role offers broad exposure across a dynamic investment advisory firm and the chance to work closely with colleagues at all levels, as well as external partners. The Compliance Analyst will play a key role in supporting the Chief Compliance Officer, contributing to critical initiatives including compliance testing, regulatory filings, the Code of Ethics, and firm-wide training.
We are seeking a motivated professional who brings strong organizational skills, attention to detail, and sound judgment. The ideal candidate is a self-starter who thrives in a collaborative environment, communicates with clarity and confidence, and can balance multiple priorities with precision and professionalism.
This role is located in Boston, MA.
Primary Responsibilities
- Support the Chief Compliance Officer in administering and enhancing the firm’s compliance program.
- Conduct compliance testing and assist with internal audit projects to ensure adherence to regulatory standards.
- Oversee elements of the firm’s Code of Ethics, including employee trading reviews and reporting.
- Prepare, review, and file required regulatory submissions.
- Assist in the design and delivery of firm-wide compliance training.
- Maintain compliance records and documentation for audits, examinations, and internal reporting.
- Analyze large data sets to monitor activities and identify potential issues.
- Partner with business teams and external stakeholders to address compliance matters.
- Stay current on regulatory developments and industry best practices.
Qualifications
- 2–4 years of compliance or operations experience with an investment adviser or investment fund manager.
- Bachelor’s degree in finance, economics, or a related field.
- Familiarity with compliance requirements under the Investment Advisers Act of 1940 preferred.
- Strong understanding of wealth management concepts.
- Excellent organizational, analytical, and problem-solving skills.
- High degree of professionalism, confidentiality, and attention to detail.
- Strong written and verbal communication skills.
- Proficiency in Microsoft Excel, Word, and Outlook.
The annualized base pay range for this role is expected to be between $75,000-$90,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed, and the applicant's skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package.
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SCS Financial, Focus Partners Family Office and OCIO, is a leading fiduciary wealth and investment management firm that focuses on ultra-high-net-worth individuals, families, and institutions. SCS puts clients’ interests first and helps wealthy families and institutions feel secure and confident in their financial futures. We deliver an integrated approach to family office and investment management, encompassing critical areas across financial planning, multi-asset class portfolio management including private investments, and a powerful technology platform. SCS manages over $42 billion in assets and is headquartered in Boston with additional offices in Atlanta, Charlotte, Dallas, Lexington, Los Angeles, Nashville, New York, Portsmouth, Providence, Tampa, and West Palm Beach.
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For Indiana Applicants: It is unlawful for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component.
For Maryland Applicants: I UNDERSTAND THAT UNDER MARYLAND LAW, AN EMPLOYER MAY NOT REQUIRE OR DEMAND, AS A CONDITION OF EMPLOYMENT, PROSPECTIVE EMPLOYMENT OR CONTINUED EMPLOYMENT, THAT ANY INDIVIDUAL SUBMIT TO OR TAKE A POLYGRAP OR SIMILAR TEST. AN EMPLOYER WHO VIOLATES THIS LAW IS GUILTY OF A MISDEMEANOR AND SUBJECT TO A FINE NOT EXCEEDING $100.
For Massachusetts Applicants: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this shall be subject to criminal penalties and civil liability.
For Montana Applicants: If hired, the employment relationship is governed by the Wrongful Discharge from Employment Act. Mont. Code Ann. Section 39-2-901.
For Rhode Island Applicants: Focus is subject to Chapters 29-38 of Title 28 of the General Laws of Rhode Island and is therefore covered by the state’s workers’ compensation law. If you willfully provide false information about your ability to perform the essential functions of the job, with or without reasonable accommodations, you may be barred from filing a claim under the provisions of the Workers’ Compensation Act of the State of Rhode Island if the false information is directly related to the personal injury that is the basis for the new claim for compensation. The Company complies fully with the Americans with Disabilities Act.
