Investment Compliance Analyst

Daley And Associates, LLC; Boston (MA); Hybrid; USD 62,000 - 83,000; Full time

Job summary

Daley And Associates, LLC in Boston, MA seeks an Investment Compliance Analyst to support the Investment Operations team in monitoring transactions and holdings for client guidelines and regulatory compliance.

Requirements include 1+ year of relevant industry experience, a Bachelor's degree in Finance, Business, Economics, or related field, and knowledge of equities, fixed income, and derivatives. Hybrid schedule in Boston with a contract role paying $30-40/hour.

Qualifications

• 1+ year of relevant investment industry experience or internships.
• Bachelor's degree in Finance, Business, Economics, or related field.
• Working knowledge of investment products including equities, fixed income, and derivatives.

Responsibilities

• Monitor investment transactions and holdings to ensure compliance with client guidelines and regulatory requirements.
• Review Investment Management Agreements and interpret client-specific guidelines.
• Maintain and update guidelines within the Sentinel monitoring system.
• Provide real-time pre-trade support to investment professionals.
• Research and resolve post-trade exceptions identified through Sentinel.
• Partner with Guideline Monitoring Analysts and cross-functional teams.
• Develop an understanding of investment strategies, client guidelines, and regulations.

Skills

Analytical skills

Attention to detail

Communication skills

Teamwork

Education

Bachelor's degree in Finance/Business/Economics

Tools

Microsoft Word

Microsoft Excel

Sentinel monitoring system

Python

SQL

Job description

Investment Compliance Analyst - Boston, MA

We are currently seeking candidates for an Investment Compliance Analyst position with a leading investment management firm in Boston, MA. This position will support the Investment Operations team in monitoring investment transactions and portfolio holdings to ensure compliance with client guidelines and regulatory requirements. The ideal candidate will have 1+ year of relevant industry experience and a working knowledge of investment products, including equities, fixed income, and derivatives.

This is a 6-12+ month contract position paying $30-40/hour, depending on experience, based on a 40-hour workweek. The position follows a hybrid work model in Boston, MA.

Responsibilities

• Monitor investment transactions and portfolio holdings to ensure compliance with client investment guidelines and regulatory requirements.
• Review Investment Management Agreements and interpret client-specific investment guidelines.
• Maintain and update guidelines within the Sentinel monitoring system.
• Provide real-time pre-trade support to investment professionals.
• Research and resolve post-trade exceptions identified through Sentinel.
• Partner with Guideline Monitoring Analysts and cross-functional teams, including Global Relationship Management, Product Management, and Portfolio Management.
• Develop a strong understanding of investment strategies, client guidelines, and applicable regulatory requirements.

Qualifications

• 1+ year of relevant investment industry experience, including internships.
• Bachelor's degree in Finance, Business, Economics, or a related field.
• Working knowledge of investment products, including equities, fixed income, and derivatives.
• Previous experience with guideline monitoring, investment operations, or compliance is a plus.
• Familiarity with investment regulations and regulatory requirements is a plus.
• Strong analytical, organizational, and problem-solving skills.
• Highly detail-oriented with a strong focus on controls and accuracy.
• Ability to manage multiple priorities and meet deadlines.
• Strong communication and interpersonal skills.
• Ability to work independently and collaboratively within a team environment.
• Self-motivated, inquisitive, and eager to learn.
• Proficiency with Microsoft Office, particularly Word and Excel.
• Exposure to AI, Python, or SQL is a plus but not required.

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