Compliance Officer

Compliance Analyst – Branch Audits

Location : Malden, MA (Hybrid – 2x per week onsite) | Frequent Travel Required

We are seeking an experienced Compliance Analyst to join our team. This role is key to maintaining regulatory and operational oversight through branch audits and daily compliance supervision.

Key Responsibilities :

• Conduct frequent on-site branch audits across the US, primarily on the East Coast
• Perform trade / email reviews and new account approvals, including variable annuities
• Collaborate with financial advisors and internal teams to resolve compliance issues
• Support regulatory inquiries and internal / external audits
• Assist in maintaining compliance policies, procedures, and controls

Qualifications :