Compliance Associate

KBW Financial Staffing & Recruiting; Boston (MA); Hybrid; USD 80,000 - 95,000; Full time

Job summary

KBW Financial Staffing & Recruiting in Boston, MA is seeking a Back Compliance Associate for a permanent, hybrid role. The position involves daily investment compliance monitoring for registered funds, pooled vehicles, and managed accounts, identifying exceptions and escalating as needed.

You will research issues with stakeholders, assist with shareholder threshold reviews and ownership filings, and help implement and maintain the compliance system to monitor investment guidelines and

Qualifications

• Experience in investment compliance monitoring and risk assessment.
• Familiarity with pre-trade and post-trade compliance workflows.
• Ability to coordinate with Portfolio Management, Trade Operations, and Data Operations.

Responsibilities

• Perform daily investment compliance monitoring on a pre-trade and post-trade basis for registered funds, pooled investment vehicles and separately managed accounts.
• Identify exceptions and elevate any potential issues to appropriate stakeholders.
• Research pre-trade or post-trade investment compliance matters and collaborate with stakeholders to resolve.
• Review global shareholder thresholds daily, validate results and research reporting requirements.
• Assist with preparing global shareholder ownership filings for submission to regulatory authorities.
• Assist in implementing and maintaining the compliance system to monitor client investment guidelines and restrictions.
• Identify compliance restrictions from governing documents and code them into the system, testing as needed.
• Identify opportunities to improve compliance workflows through technology-driven solutions and collaborate with Technology.

Job description

Back Compliance Associate

Compliance Analyst (KBW) Boston , Massachusetts Perm 80000 Jul 28, 2026 $80000.00 - $95000.00

Compliance Associate

Boston, Ma – Hybrid

$80-100K + Bonus

Key Responsibilities:

• Perform daily investment compliance monitoring on a pre trade and post trade basis for registered funds, pooled investment vehicles and separately managed accounts. Identify exceptions and elevate any potential issues.
• Research pre trade or post trade investment compliance matters and collaborate with appropriate stakeholders (e.g., Portfolio Management, Trade Operations, or Data Operations) to resolve as needed.
• Perform daily review of global shareholder thresholds, including validating results and researching reporting requirements. Escalate any potential reporting requirements.
• Assist with preparing global shareholder ownership filings for submission to applicable regulatory authorities as needed.
• Assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. Ensure proper restriction coding in the order management system and conduct testing on new and existing investment restrictions.
• Identify compliance restrictions from governing documents for new accounts and amendments to existing accounts. Code restrictions into the compliance system, as needed.
• Identify opportunities to improve compliance workflows through technology-driven solutions. When needed, collaborate with Technology to effectively communicate requirements from business perspective.