Compliance Associate

The growing Flourish Legal and Compliance team is part of the larger MassMutual Legal team. Covering a growing fintech platform, the Flourish Legal and Compliance Team works on a variety of business needs, including fraud prevention; anti-money laundering and economic sanctions; broker-dealer surveillance, anti-corruption; data governance, security and privacy; and elder financial exploitation compliance strategies and programs.

As a Compliance Associate, you will be part of Flourish's Legal and Compliance Team. You will be the first line of defense for incoming inquiries and have an impact on all aspects of Flourish's compliance program, including administering Flourish's Code of Ethics, reviewing marketing materials and conducting vendor due diligence. You will also conduct research, update policies and procedures and help develop compliance training programs.

In this role, you will earn confidence and trust by demonstrating ownership, commitment and follow-through in achieving results. You will also manage priorities effectively and adapt quickly to achieve goals while thriving in complex, uncertain and changing situations. As a Compliance Associate on this team, you will be relied upon for your willingness to roll up your sleeves to get the job done!

​​Working as an integrated team of subject matter experts, Legal and Compliance aligns various compliance efforts to manage the Firm's risks. While the team is organized by risk (anti-money laundering and economic sanctions; data governance, security and privacy; anti-corruption; elder financial exploitation and fraud), functional integration within the same team enables the Flourish Legal and Compliance team to effectively manage risk across the organization. This is accomplished by fostering greater and consistent coordination and communications with business lines and other control functions, developing an overall legal and regulatory strategy, sharing and analyzing key data across areas like financial crimes, fraud and data privacy/security prevention activities and efficiently managing workflow, cases, and activity.

In this role, you will interact directly with all members of the team, including management. Key responsibilities will include, but are not limited to the following:

• Administering and monitoring compliance with Flourish's Code of Ethics.
• Responding to inquiries and interpretive questions from stakeholders regarding Flourish's Code of Ethics and other compliance policies.
• Reviewing marketing materials and disclosure documents in accordance with regulatory guidelines, and providing guidance to marketing and business teams.
• Conducting electronic communication surveillance.
• Investigating compliance matters, compiling reports of findings, and presenting recommendations for resolution.
• Conducting due diligence on service providers and business partners and assembling results.
• Creating, developing and administering compliance training programs.
• Assisting with maintenance of required books and records.
• Drafting and updating policies and procedures and conducting related research.
• Assisting with reviews and testing of policies and procedures.
• Assisting with regulatory reporting and filings.

• Bachelor's degree or higher
• At least two years of experience as a compliance professional or paralegal at a financial services company, compliance consulting firm or law firm
• FINRA Series 7 license or willingness to obtain a Series 7 within the first sixty days of employment
• Strong written and verbal communication skills with the ability to generate precise and thorough documentation. This is a critical competency due to investigations and reports prepared by the team may be subject to careful review by regulatory authorities
• Ability to maintain accuracy when under tight time constraints and be able to maintain a detail-orientated approach
• Strong analytical skills, with the ability to effectively identify, communicate and address the full range of potential compliance exposures
• Willingness to learn and adapt to change driven by regulatory, industry, and business developments
• Detail oriented and highly organized
• Excellent interpersonal and communication skills; team player, self-motivated, and patient demeanor
• Ability to work in a fast paced, ever changing environment
• High degree of ownership and sense of urgency
• Exhibits highest ethical standards and strong work ethic
• Must be able to pass a background check required under FINRA rules

• Experience with broker-dealer regulations, retail financial services and/or at a fintech business.
• FINRA Series 24 license is a plus, but not required.
• Experience with AWS, MS Office and GSuite

• Regular meetings with the Flourish team.
• Focused one-on-one meetings with your manager.
• Access to mentorship opportunities.
• Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, Veteran and disability-focused Business Resource Groups.
• Access to learning content on Degreed and other informational platforms.
• Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits.

At Flourish, we focus on ensuring fair, equitable pay by providing competitive salaries, along with bonus and incentive opportunities and benefits for all employees.

Base Salary Range: $65,000 - $102,400 plus bonus