Harrison Gray Search has partnered with a long-established, highly regarded financial services firm as they add a Compliance Analyst to join their growing Investment & Registered Rep Compliance team in Boston. This role is available due to firmwide expansion and offers a unique opportunity to contribute to a respected compliance program that prioritizes client trust and regulatory integrity.

THE ROLE

The Compliance Analyst plays a key role in supporting firm-wide regulatory supervision and internal oversight. The individual in this role will focus on surveillance and risk mitigation efforts that help protect the organization, its registered financial professionals, and its clients. A strong ethical mindset, attention to detail, and collaborative approach are essential to success in this position.

This full-time role reports directly to the Chief Compliance Officer. Regular hours are Monday through Friday, 8:30 AM – 5:00 PM EST.

WHAT YOU WILL BE DOING

• Conduct both remote and onsite branch examinations as part of the internal risk-based review process.
• Perform daily reviews of the trade blotter, including oversight of exception reports.
• Assist in executing annual supervisory control testing and procedural verifications.
• Investigate and resolve alerts from a range of compliance surveillance reports, including trade activity and account monitoring.
• Review and approve marketing materials, public communications, trade corrections, and direct business using internal approval systems.
• Conduct investigations of potential regulatory violations, documenting findings and escalating as needed.
• Monitor firm communications, including email, social media, and messaging platforms, in accordance with firm policies.
• Support continuing education initiatives and ensure compliance with training requirements.
• Liaise with branch leadership on investigative reviews related to trading or account activity.
• Monitor various account metrics, such as inactive/active statuses, cash balances, and quarterly fee structures.
• Maintain oversight of outside brokerage accounts and employee trading activity.
• Serve as administrator for compliance systems, including tools for surveillance, disclosures, and e-communications.
• Maintain compliance records and organize internal resources such as intranet content and regulatory correspondence.
• Keep current with evolving industry regulations and best practices.
• Contribute to departmental projects, internal communications, and compliance infrastructure improvements.
• Support internal culture by participating in team development and morale-building initiatives.
• Other duties and ad hoc compliance projects as assigned.

Performance Expectations

• Effectively build working relationships across internal departments and with branch contacts.
• Maintain accuracy and consistency in all compliance deliverables (e.g., branch exams, reporting, surveillance).
• Support the achievement of annual goals as set by the compliance department and leadership.

WHAT YOU BRING

• Bachelor’s degree in a business-related field.
• 2–5 years of experience in a compliance or risk role within a broker-dealer and/or registered investment adviser.
• Active FINRA Series 7, 24, and 63/66 licenses.
• Proficiency with Microsoft Office Suite and Google Workspace.
• High integrity and ability to handle sensitive information confidentially.
• Familiarity with industry-standard compliance systems.
• Willingness to travel domestically on occasion for branch reviews.

Core Competencies

• Attention to detail and strong organizational skills
• Written and verbal communication
• Problem solving and critical thinking
• Social perceptiveness and empathy
• Time management and multitasking
• Understanding of social media monitoring in a regulatory context

Preferred Qualifications

• Experience using DocuSign and Adobe Acrobat

WHAT YOU CAN EXPECT

• Competitive salary based on experience
• Comprehensive Total Rewards package including:
• Medical coverage with HRA or HSA options
• Dental and Vision insurance
• Company-paid short- and long-term disability insurance
• Basic life insurance (with supplemental options available)
• 401(k) with employer match
• Flexible Spending Accounts (FSAs)
• Paid time off: vacation, personal, sick days, and volunteer day
• Critical illness and accident insurance
• Employee assistance and wellness programs
• Discount programs for products and services

This role offers an excellent opportunity for an investment compliance professional looking to grow within a stable, ethics-driven firm that values initiative, service, and collaboration.