Compliance Analyst – Financial Services

Compliance Analyst

LWO, LLC is a shared resource company serving three sister companies: Boston Harbor Wealth Advisors (BHWA), CRUX Wealth Advisors, and Freedom Street Partners. Our services are comprehensive and cover all aspects of our client’s financial lives, which includes retirement and education planning, investment management, estate, and tax planning, etc.

The Compliance Analyst will focus on the compliance concerns within our individual customer base, the organization with whom we are associated with, and the industry as a whole.

RESPONSIBILITIES

Day to day duties will include, but not be limited to the following:

· Prioritize and solve compliance issues with minimal supervision, escalate issues to the executive team as needed

· Approve new account profiles, required forms, and additional documentation as required.

· Stay educated with firm and industry compliance rules and report back to LWO Leadership team

· Review reports to identify potential violations and act quickly to course correct

· Review trading blotter and suitability compliance alerts in Supervisory Center

· Review compliance policies and procedures, maintain compliance files and documentation

· Actively identify areas for enhancement to our compliance program, spot check and conduct in person pre-audit inspections

· Review and update policies and procedures, communicate changes to employees and conduct educational training sessions

· Monitor communications with the public, outside business activities (OBAs) and review gifts and entertainment policy requirements.

QUALIFICATIONS

Bachelor’s degree or equivalent preferred

· Bachelor’s degree in Accounting, Business, or Finance

· 2+ years of related experience in compliance

· Series 24 and/or Series 9 & 10

· Strong analytical skills and demonstrated problem solving abilities

· Highly motivated with excellent time management and communication skills

· Knowledge of investment management and mutual fund industry as well as securities markets

LOCATION – In office or hybrid, whichever preferred

1214 Progressive Drive

Chesapeake, VA 23320

*May also work from other office locations in Virginia and North Carolina.

FOR USE WITH FINANCIAL PROFESSIONALS ONLYCompliance Analyst

LWO, LLC is a shared resource company serving three sister companies: Boston Harbor Wealth Advisors (BHWA), CRUX Wealth Advisors, and Freedom Street Partners. Our services are comprehensive and cover all aspects of our client’s financial lives, which includes retirement and education planning, investment management, estate, and tax planning, etc.

The Compliance Analyst will focus on the compliance concerns within our individual customer base, the organization with whom we are associated with, and the industry as a whole.

RESPONSIBILITIES

Day to day duties will include, but not be limited to the following:

· Prioritize and solve compliance issues with minimal supervision, escalate issues to the executive team as needed

· Approve new account profiles, required forms, and additional documentation as required.

· Stay educated with firm and industry compliance rules and report back to LWO Leadership team

· Review reports to identify potential violations and act quickly to course correct

· Review trading blotter and suitability compliance alerts in Supervisory Center

· Review compliance policies and procedures, maintain compliance files and documentation

· Actively identify areas for enhancement to our compliance program, spot check and conduct in person pre-audit inspections

· Review and update policies and procedures, communicate changes to employees and conduct educational training sessions

· Monitor communications with the public, outside business activities (OBAs) and review gifts and entertainment policy requirements.

QUALIFICATIONS

Bachelor’s degree or equivalent preferred

· Bachelor’s degree in Accounting, Business, or Finance

· 2+ years of related experience in compliance

· Series 24 and/or Series 9 & 10

· Strong analytical skills and demonstrated problem solving abilities

· Highly motivated with excellent time management and communication skills

· Knowledge of investment management and mutual fund industry as well as securities markets

LOCATION – In office or hybrid, whichever preferred

1400 Computer Dr, Suite 201

Westborough, MA 01581

Phone: 978-767-8667

*May also work from other office locations in Massachusetts and southern NH

FOR USE WITH FINANCIAL PROFESSIONALS ONLY

Job Type: Full-time

Pay: $70,000.00 – $80,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible spending account
• Health insurance
• Paid time off
• Professional development assistance
• Relocation assistance
• Retirement plan
• Vision insurance

Schedule:

• Monday to Friday

Application Question(s):

• Required to be considered – Do you have your series 24 or 9/10?

Work Location: Hybrid remote in Chesapeake, VA 23320