Harrison Gray Search has partnered with a long-established, highly regarded financial services firm as they add a Compliance Analyst to join their growing 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 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 a compliance professional looking to grow within a stable, ethics-driven firm that values initiative, service, and collaboration.