Investment Compliance Specialist | Boston or Needham

Daley And Associates, LLC.; Boston (MA); On-site; USD 90,000 - 180,000; Full time

Job summary

Daley And Associates, LLC. is seeking an Investment Compliance Specialist to join its Investment Operations team in Boston or Needham. The role focuses on ensuring portfolio transactions and holdings follow client guidelines and regulatory requirements.

You will review agreements, monitor guideline systems, provide real-time pre-trade compliance support, and collaborate with portfolio management and client teams. A strong analytical mindset and experience in investment operations are essential.

Qualifications

• Experience in investment operations or compliance preferred.
• Knowledge of investment products and regulatory requirements advantageous.
• Strong analytical, organizational, and problem-solving skills.
• Excellent attention to detail and ability to manage competing priorities.
• Strong interpersonal and communication skills.
• Proficiency with Excel, Word, and Microsoft Office.
• Bachelor's degree in Finance, Business, or related field preferred.

Responsibilities

• Review investment management agreements and client guidelines to identify restrictions.
• Maintain and update investment guideline monitoring systems.
• Provide real-time, pre-trade compliance support to investment teams.
• Monitor portfolio holdings and transactions for guideline violations.
• Investigate and resolve post-trade compliance exceptions.
• Partner with portfolio management, operations, and client-facing teams on issues.
• Develop understanding of investment strategies and applicable regulatory requirements.

Skills

Analytical thinking

Organization

Problem-solving

Attention to detail

Communication

Interpersonal skills

Teamwork

Independent work

Education

Bachelor's degree in Finance, Business, or related field

Tools

Excel

Word

Job description

Investment Compliance Specialist | Boston or Needham

A leading investment management firm is seeking an Investment Compliance Specialist to join its Investment Operations team. This individual will support investment teams by ensuring portfolio transactions and holdings adhere to client investment guidelines and regulatory requirements.

Compensation: $90,000-180,000 annually
Schedule: Onsite 4 days/week in Boston or Needham

Responsibilities

• Review investment management agreements and client guidelines to identify investment restrictions and requirements.
• Maintain and update investment guideline monitoring systems.
• Provide real-time, pre-trade compliance support to investment teams.
• Monitor portfolio holdings and transactions for potential guideline violations.
• Investigate and resolve post-trade compliance exceptions.
• Partner with portfolio management, operations, and client-facing teams to address compliance issues.
• Develop a strong understanding of investment strategies, client guidelines, and applicable regulatory requirements.

Qualifications

• Experience in investment operations, investment compliance, guideline monitoring, or a related financial services role preferred.
• Working knowledge of investment products, including equities, fixed income, and derivatives.
• Understanding of investment restrictions, portfolio monitoring, or regulatory requirements is advantageous but not required.
• Strong analytical, organizational, and problem-solving skills.
• Excellent attention to detail and ability to manage competing priorities.
• Strong interpersonal and communication skills.
• Ability to work independently and collaboratively.
• Proficiency in Excel, Word, and other Microsoft Office applications.
• Bachelor's degree in Finance, Business, or a related field preferred.