Senior Compliance Analyst
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POST DATE 8/26/2016
END DATE 11/15/2016
The Washington Trust Company
JOB DESCRIPTIONJob Description:
Weston Financial Group is seeking a Senior Compliance Analyst to provide high-level assistance with legal and compliance requirements. The position is critical to ensure the myriad of changing and existing regulations are met. The Senior Compliance Analyst will work on synthesizing and documenting changing regulations and assisting with Training and Audits to ensure compliant operations of all legal entities within the Wealth Management division. The division includes two SEC Registered Investment Advisers (Weston Financial Group, Inc. and Halsey Associates, Inc.), a Registered Investment Company, a Broker/Dealer and The Washington Trust Company s Trust and Estates Group.
Weston Financial Group is a wholly-owned subsidiary of The Washington Trust Company and part of a diversified group of Wealth Management professionals in MA, RI, and CT.
This position requires a minimum of five years compliance or regulatory experience as it pertains to the investment adviser, investment company, brokerage industry and/or bank trust administration business. The successful candidate with have a Bachelor s degree; legal or paralegal experience is desired. Excellent verbal and written communication skills are essential along with strong project management skills. Strong Excel skills are a must. The position requires a Series 7 license, which may be obtained after hiring; Series 24 license is desirable.
SPECIFIC RESPONSIBILITIES OF THIS HIGHLY VISIBLE AND CHALLENGING ROLE:
Assist with the annual supervisory and compliance program review and testing for compliance with Investment Advisers Act 206(4)-7, Investment Company Act Rule 38a-1, FINRA Rules 3120 and 3130 and FDIC Regulations governing Trust Departments. Developing new testing procedures as needed and preparing Annual Compliance / Supervisory Reports for Management.
Conduct various internal audits, mock SEC/FINRA/FDIC audits and prepare final inspection / summary of findings memorandums.
Monitor legal and regulatory developments and creating and implementing compliance policies, procedures/controls and training programs in response to anticipated regulatory changes.
Synthesize SEC, FINRA and FDIC Regulations and provide support to the CCO on rolling out new processes and/or training programs for the Wealth Management Division.
Provide input into the annual internal risk assessment process as it pertains to the various business lines, operations and compliance.
Assist with the preparation of Annual Compliance meeting materials, quarterly Board of Trustees Meeting materials, and periodic training materials.
Assist with internal marketing and retail communication reviews to ensure compliance with state and federal advertising regulations.
This position is based in Wellesley, MA.
Our employees enjoy a comprehensive benefits package, which includes health and welfare benefits, paid time-off, work-life program, and a 401(k) plan. We believe employees who are valued, recognized, rewarded and empowered, will achieve personal and professional growth. We are proud to be part of The Washington Trust Company which has been named one of the Best Places to Work in Rhode Island since 2011!
Weston Financial Group / The Washington Trust Company, and each of its subsidiaries and affiliates are committed to cultivating and promoting a diverse and inclusive workforce. We seek to provide an environment of equal employment opportunity and advancement to all employees and applicants. It is our policy to provide equal employment and advancement opportunities without regard to race, color, ethnicity, age, religion, gender, pregnancy/childbirth, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, or any other category protected by federal, state and/or local laws.
Visit http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf to view "EEO is the law poster". For additional information, please visit http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf for EEO supplement poster.