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, a leading investment management firm, seeks an Investment Compliance Specialist to join the Investment Operations team. You will help ensure portfolio transactions and holdings comply with client guidelines and regulatory requirements, supporting investment teams in real-time compliance.

The role is onsite four days per week in Boston or Needham. The ideal candidate has experience in investment operations or compliance, strong analytical skills, and proficiency with

Qualifications

• Experience in investment operations, compliance, or related financial services.
• Knowledge of equities, fixed income, and derivatives.
• Understanding of investment restrictions and regulatory requirements is helpful.
• Strong analytical, organizational and problem-solving abilities.
• Attention to detail and ability to manage competing priorities.
• Excellent communication and interpersonal skills.
• Ability to work independently and with others.
• Proficient in Excel and Word.
• Bachelor's degree in Finance or Business preferred.

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.

Skills

Analytical skills

Organizational skills

Problem-solving skills

Communication skills

Interpersonal skills

Attention to detail

Teamwork

Education

Bachelor's degree in Finance or Business

Tools

Excel

Word

Job description

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.