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Careers

 

Moors & Cabot is a growing financial institution headquartered in Boston, MA that offers professional and administrative opportunities. If you are interested in joining our team at our Boston office, please email your résumé along with your area of expertise to joinus@moorscabot.com.

In addition, we have branch offices around the country. You may contact branch managers to find out what opportunities they may offer. Please see our list of branch offices for contact information in an area of geographic interest to you. To see if there is a branch near you, visit our M&C Locations page.

 
Current Opportunities

 

Experienced Financial Professionals - Multiple Locations (Remote Work Opportunities Available)

Job Description

Moors & Cabot is seeking experienced financial professionals with established practices to join our many expanding offices throughout the country. Here, you will cultivate relationships with clients and evaluate their needs to effectively manage their wealth. To help clients meet their objectives, you will stay current and informed of new investment products and market trends and analyze, draft, and implement comprehensive investment plans. We will help you do all of this while maintaining your independence.

At Moors & Cabot, you can be as entrepreneurial as you want, yet still be part of an experienced team of financial professionals with serious ambitions. What's more, you'll be connected to all the support and resources of a venerable Boston-based financial services firm (from an in-house Trading Desk to a dedicated Marketing Support Desk)—all while earning a higher payout.

Ideal candidates will possess the following:

  • 5+ years in industry

  • A solid book of business with a minimum production of $250k and $25MM in assets under management

  • Bachelor's degree

  • Series 7 and 63 licenses

  • A client-focused approach

  • Performance and goal driven personality

  • Excellent communication skills

 

We understand the decision to consider transitioning your business is not one that is taken lightly, but let us put your mind at ease. Apply, and we’ll coordinate a conversation with a member of our Executive Management Team who will be happy to answer any question you have and put any concerns to rest.

 

Registered Client Associate - Boston, MA

Job Description

Moors & Cabot is seeking an experienced Registered Client Associate for their headquarters in Boston. This is a full time position, Monday through Friday, 8:30 a.m. to 5:00 p.m. Due to the COVID-19 pandemic, Moors & Cabot has given its employees the option to work remotely where possible until there is widespread treatment or a vaccine. This position in particular would have that option.

 

Role/Position Description:
In this specific position, the Registered Client Associate is responsible for assisting in the management of client accounts for the financial professionals to which they are assigned. Included in this role will be directly communicating with clients to service their account requests via phone, email, meetings, or other modes of communication and interacting with the back office to process these requests and other account issues. This position also requires administrative support for any assignment that the financial professional(s) calls for. Administrative support duties include providing phone call coverage, arranging meetings, creating expense reports, entering trades, running various reports, maintaining files, opening new accounts, etc. In addition, provide assistance and coverage for other client associates as needed.

 

This role reports to the Financial Professional(s) they assist and the Branch Manager.

 

Responsibilities:

  • Follow-up on all documentation and processes

  • Provide administrative support to the Financial Professional(s)

  • Communicate with clients and assist with any requests

  • Monitor moneyline and action items for problems and address as they come up

  • Maintain updated documentation and letters of authorization/ACH forms

 

Primary Objectives:

  1. Work independently and maintain high efficiency in all procedures

  2. Respond to financial advisor and client requests in a timely and professional fashion

  3. Follow-up on all assignments to ensure they are complete and accurate

  4. Effectively use the RBC platform for management of client accounts

 

Key Measurements:

  1. Ability to integrate into financial advisor’s business and build rapport with clients

  2. Timeliness of accurately completing tasks assigned

  3. Professionalism shown in correspondence to clients, financial advisor(s), and all staff

 

Minimum Requirements: 

  • Bachelor’s degree in Business, Finance, or related field

  • Series 7 & 66 registration

  • Ability to handle high stress situations

  • At least 2 years experience as a Client Associate for a financial firm

  • Master of Microsoft Office applications and a strong technical acumen

  • Experience with RBC platform preferred

  • Highly professional, detail oriented, communicative and straight forward persona

 

Compliance Analyst - Boston, MA

Job Description

Moors & Cabot is seeking an experienced Compliance Analyst. This is a full time position, Monday through Friday, 8:30am to 5:00pm EST.  Ideally, the person hired for this position would be located in the New England area of the United States with the ability to commute to Moors & Cabot's Boston headquarters.  However, this position is also open to candidates located in Florida near the cities of Winter Park, Boca Raton, Naples and/or Sarasota.

 

Due to the COVID-19 pandemic Moors & Cabot has given its employees the option to work remotely where possible until there is widespread treatment or a vaccine. This position in particular would have that option.

 

Role/Position Description:

As a part of the supervision and surveillance team within the Firm’s Compliance Department, the Compliance Analyst’s primary responsibility will be to perform ongoing reviews of the daily trade blotter, exception reports and other customer account activity. They will review the Firm’s email/social media system to ensure that all content conforms to the Firm’s electronic communications policy.  Additionally, this position will work closely with the rest of the compliance team and with the Firm’s branch managers to investigate and resolve any sales practice-related issues that might arise during the course of their review. The Compliance Analyst will also track trends and statistics across the Firm’s various business lines, perform periodic internal controls testing, conduct on site branch office visits and reviews, assist in the development and implementation of compliance policies and procedures, and perform other tasks as assigned by the Chief Compliance Officer.

 

This role reports to the Chief Compliance Officer.

 

Primary Responsibilities include:

  • Perform daily, weekly, monthly, and ad-hoc trade surveillance of trading in customer accounts

  • Monitor and resolve exception alerts and escalate any outstanding issues to branch managers and the CCO

  • Monitor and report on employee activity, including review of personal trading in outside accounts, private investments, and outside business activities

  • Conduct Email, Social Media,  and other electronic communication surveillance using Smarsh platform and involve compliance and branch management when needed

  • Perform investigations of potential violation of industry and firm policies, procedures and best practices (document findings and report to CCO)

  • Work closely with Branch Managers on investigations involving activity in their branch location

  • Perform branch reviews as part of our risk-based internal branch examination process with some domestic travel required

  • Assist with performing firm’s annual supervisory controls and verification testing

  • Other projects as assigned

  • Assist with Annual Review of Investment Advisor Compliance Program in accordance with Rule 206(4)-7.

  • Keep abreast of changes in regulatory rules and guideline

  • Other projects as assigned

 

 

Qualifications:

 

  • Bachelors degree in business related field

  • FINRA Series 7, 24, 63/66. Series 4 within 6 months

  • Strong interpersonal skills as well as excellent written and oral communication skills

  • At least 5 years prior experience in a regulatory compliance or branch supervisory function for a broker dealer and/or investment advisor

  • Background conducting preliminary investigations with knowledge of FINRA/SEC rules and regulations

  • Ability to maintain confidentiality a must

  • Knowledge of trading procedures and account surveillance

  • Prior experience with SMARSH and Proserv a plus

  • Willingness to participate in onsite/offsite compliance training programs and attend regulatory seminars*

  • Excellent analytical, organizational and verbal/ written communication skills

  • Superior time management and follow through skills

  • Strong customer service skills with an consultative approach to problem-solving

*During the COVID-19 pandemic, Moors & Cabot is encouraging virtual training/seminars where possible and is temporarily prohibiting employees from attending large in-person gatherings for business purposes.

Our Culture:

If you join Moors & Cabot, you will join a culture that believes in putting the customer first while delivering a top tier experience to our financial professionals and looks to all employees to contribute to that goal by sharing their ideas, experience, and desire for continuous improvement. Moors & Cabot employees are encouraged to help make their local communities better through involvement in charities or volunteering during M&C Cares Days.

 

We offer competitive compensation and health, dental, and vision care benefits. Work/life balance is a top priority and is supported through paid holidays, paid time off, and sick and personal time (including time to volunteer), as well as company paid continuing education opportunities.

 

Moors & Cabot Member FINRA, NYSE & SIPC. M&C is an equal opportunity employer.

Click here to apply. Be sure to include a cover letter with your résumé.

© 2020 by Moors & Cabot

Moors & Cabot Inc., member New York Stock Exchange, SIPC, FINRA

One Federal St., 19th Floor, Boston, MA 02110

info@moorscabot.com  |   +1.800.426.0501

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Explanatory brochure available upon request or at www.sipc.org.