Investment Compliance Analyst: Data-Driven Monitoring

Weiss Asset Management; Boston (MA); On-site; USD 85,000 - 125,000; Full time

Job summary

Weiss Asset Management in Boston is seeking an Investment Compliance Analyst to join our Compliance team. This role sits at the intersection of investment compliance, trading, and data.

You will monitor trade activity, resolve compliance exceptions, and help enhance systems and processes that support ongoing monitoring. Candidates with 1–3 years of experience and SQL skills are encouraged to apply; Python and AI tools are a plus. This is an in-office role in Boston.

Qualifications

• Proficient in SQL with ability to analyze trade and compliance data.
• Graduating Summer 2027 or 1–3 years of relevant experience.
• Working knowledge of Python, automation or AI tools is a plus.
• Experience with order management systems is a plus.

Responsibilities

• Monitor and resolve pre- and post-trade compliance alerts across funds and strategies, using data to spot exceptions and patterns.
• Interpret, maintain, and test trading compliance rules in the OMS, and support investment-related compliance questions.
• Analyze trade, position, and compliance data in SQL to support recurring reviews, reconciliations, and investigations.
• Automate manual tasks with code and AI tools, building solutions that make compliance monitoring more efficient and repeatable.
• Design systematic, scalable workflows for compliance reviews and escalations.
• Maintain restricted securities and issuer lists across firm systems and support wall-crossing and MNPI processes.
• Track regulatory developments and assess their impact on trading activity, compliance rules, policies, and procedures.
• Support regulatory filings, audits, system upgrades, and ad-hoc compliance projects.

Skills

SQL

Python

Automation

AI tools

Order Management System

Tools

OMS

Job description

Weiss Asset Management in Boston is seeking an Investment Compliance Analyst to join our Compliance team. This role sits at the intersection of investment compliance, trading, and data.

You will monitor trade activity, resolve compliance exceptions, and help enhance systems and processes that support ongoing monitoring. Candidates with 1–3 years of experience and SQL skills are encouraged to apply; Python and AI tools are a plus. This is an in-office role in Boston.