Compliance Operations Assistant
About the Role
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Our client, a financial services firm, is seeking a Compliance Operations Assistant for a 3+ month contract role supporting its compliance team during a period of operational change. This is a hybrid position (3 days onsite) based in Waltham, MA, working Monday-Friday from 9:00 AM to 5:00 PM. The organization is a privately held company that supports independent financial advisors and values accuracy, service, and collaboration. Qualified and interested candidates are encouraged to apply today for immediate consideration.
Key Responsibilities
- Track and follow up on a high volume of compliance-related cases
- Build relationships with financial advisors and internal teams
- Conduct written and verbal compliance inquiries
- Educate advisors and staff on compliance policies and procedures
- Review exception-based monitoring reports
- Assist with regulatory reporting and analysis
- Identify, escalate, and recommend solutions for compliance issues
Candidate Qualifications
- 1-2 years of compliance or financial services experience preferred
- Strong written and verbal communication skills
- High attention to detail with solid research and problem-solving abilities
- Self-motivated with the ability to learn quickly
- Proficient in Microsoft Office
- Positive, service-oriented approach
A1449748EM_1773237184
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