Compliance Associate
Kbwfinancial
Boston, MA · Posted September 11, 2026
Just laid off? Start here: a plan for the first weeks
See every open role at Kbwfinancial
More in Massachusetts job market · Financial Services & Banking · Legal jobs
More roles at Kbwfinancial
- Litigation Paralegal · Augusta, ME
- Project Accountant · Concord, MA
- GTM Recruiter · Boston, MA
- Sr Revenue Accountant · Portland, ME
- Legal Assistant · Dover, NH
- Paralegal · Dover, NH
Similar jobs
- Specialist, Regulatory Affairs · TransMedics Group · Andover, MA
- Sr. Regulatory Affairs Specialist · GLAUKOS · Burlington, MA
- Principal Regulatory Affairs Specialist · Boston Scientific · Marlboro, MA
- Quality Assurance Specialist · Sanofi · Framingham, MA
- Quality Assurance Specialist · IPG Photonics · Marlborough, MA
- Interim Regulatory & Accreditation Consultant · Confidential · Springfield, MA
Where Boston, MA ranks
Where Boston, MA placed in our monthly rankings, month by month. Each month stays online at its own address.
November 2026
- #1Best cities for life sciences and biotech jobs793 openings · of 41
- #1Cities with the most jobs that do not need a four-year degree in New England390 jobs · of 14
- #1Best cities for AI-skill jobs in New England21% · of 28
- #1Best cities for software and engineering jobs in New England910 openings · of 24
- #1Best all-round cities for mid-career professionals in the Northeast71 / 100 · of 26
- #1Best all-round cities for mid-career professionals in New England71 / 100 · of 11
Rankings about legal jobs
- Best cities for legal jobs #1 New York (854 openings)
- Best cities for legal pay after cost of living #1 San Mateo ($238k)
- Most requested AI skills in legal jobs #1 AI tools in daily work (3.9%)
- Employers with the most legal jobs #1 Morgan & Morgan (195 roles)
How AI is used in this kind of work
Among compliance officers, AI is already used for some of the tasks. Measured exposure for compliance officers: 12% (some).
Share of this job’s tasks that AI is already used for at work, from real usage. It is not a forecast of job loss, and a low number means no use seen yet. Source: Anthropic Economic Index.
Skills this job asks for
Say which you have and which you want to build. We use it to match you to jobs like this one.
About the job
Our Wealth Management client in downtown Boston is seeking a Compliance Associate to join its small, collaborative compliance team and work closely with the Chief Compliance Officer and Senior Compliance Associate. Our client would like someone with 3+ years of experience in an RIA, wealth management, or investment management environment. This role offers working from home 3 days a week.
Responsibilities
Assist with administration of the firm's Compliance Management System, including Code of Ethics certifications, quarterly/annual reviews, gifts, political contributions, personal trading pre-clearance, and marketing reviews.
Review marketing materials, presentations, and website content; maintain marketing logs and compliance approvals.
Monitor and review proxy voting, including daily exception follow-up, quarterly reviews, and annual Form N-PX reconciliation.
Assist with custody procedures, including quarterly and annual monitoring and back-testing.
Create, update, and monitor portfolio compliance rules and restrictions.
Perform trading-related compliance reviews, including trade dispersion analysis and other reviews of firm trading activity.
Assist with regulatory filings
Assist with books and records maintenance and retention in accordance with the firm's Compliance Manual.
Support documentation and onboarding procedures for private placements.
Support the CCO with regulatory research, new rule implementation, and other firm projects.
Qualifications
3+ years of wealth management, RIA, or investment management compliance experience.
Experience with trading-related compliance, investment compliance, trade review, or portfolio compliance.
Familiarity with publicly traded securities.
Comp- $95K-115K + Bonus
3 days from home
#LI-JS1
KBW789