KBW Financial Staffing & Recruiting · 10 hours ago
Code of Ethics Compliance Analyst
Boston, MA
Full-time
Onsite
Entry Level
$35/hr - $38/hr
1+ years expKBW Financial Staffing & Recruiting is seeking a Code of Ethics Compliance Analyst to join their Legal, Compliance, and Risk group. The role involves administration of the Firm’s Code of Ethics Policy, addressing conflicts of interest and monitoring compliance with related policies.
CrowdfundingFinancial ServicesHuman Resources
Responsibilities
Responding to questions from employee regarding the Firm’s Code of Ethics Policies/Program
Supporting process, system and data dependent elements of the Code of Ethics program; Look for opportunities to create efficiencies/use of technology
Collaborating with EMEA and APAC compliance colleagues, Operational Risk, and Internal Audit to drive coordinated outcomes in the above areas
Support other key Legal, Compliance and Risk Group initiatives
Developing and conducting regulatory training to the business in the areas described above
Responding to regulatory inquiries or examinations in these areas, as appropriate
Serving as a point of escalation for our offshore colleagues
Create and maintain operational procedures
Qualification
Required
Undergraduate degree, preferably in finance, business, computer science or other relevant field
Minimum 1-3 years of experience with compliance, operational or business controls for an investment advisor
Company
KBW Financial Staffing & Recruiting
KBW Financial Staffing & Recruiting is a staffing and recruiting company providing accounting and financial placement services. It is a sub-organization of BANKW Staffing.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Jason Alexander
Chief Revenue Officer (CRO)
Matt Nagler
Managing Partner
Recent News
NH Business Review
2026-01-17
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