TA Realty LLC

Compliance Analyst

Boston, MA

Sponsorship not specifiedDetected 22 days ago

ComplianceAccountingAuditingOnboardingCorporate LawResearchCollaborationInternal Audit

About the role

Compliance matters include regulatory compliance (as TA Realty is a registered investment adviser ("RIA") with the Securities and Exchange Commission ("SEC")), internal policy and procedures, corporate governance and risk management.
TA Realty does not discriminate against candidates and employees on the basis of race, religion, national origin, age, veteran status, sexual orientation, or any other protected status under law.

Maintain the Firm's side letter management platform (Ontra Insights) Cross-Functional Support: Monitor new hire onboarding and departing employee offboarding requirements to ensure completion Assist with internal audit (JSOX) requests from TA Realty's parent company Assist the CCO or Compliance Manager with additional duties, including regulatory research and ad hoc compliance projects
The Compliance Analyst will report to the Compliance Manager, with indirect reporting to the Chief Compliance Officer ("CCO"), and will support the execution and ongoing enhancement of the firm's compliance program.
The Compliance Analyst role involves close collaboration with the compliance team members and cross-functional partners across Investor Relations, Accounting, Technology and Operations.
Support administration of the Firm's compliance software (Comply) including periodic certifications and monitoring of personal trading monitoring, gifts and entertainment, outside business activity, political contributions, etc.

Assist with regulatory filings and requests (e.g. Form ADV, Form PF, Form SHL, Form SLT, etc.) Monitor regulatory developments and assess impact on the firm Review compliance-related 'alerts' from TA Realty's legal counsel and industry resources and communicate relevant information to the

This listing is sourced directly from TA Realty LLC's careers page and normalized into a canonical job model.