Investment Guideline Analyst

Daley And Associates, LLC; Boston (MA); Hybrid; USD 41,000 - 55,000; Full time

Job summary

Daley And Associates, LLC is seeking an Investment Guideline Analyst in Boston, MA for a 6–12+ month contract. The role focuses on ensuring portfolio activity complies with client guidelines and regulatory requirements, with 1–3 years of relevant experience and knowledge of equity, fixed income, and derivatives.

The position supports a hybrid work model in Boston, requiring local candidates who can work onsite 4 days per week. Compensation ranges from $30–$40 per hour, depending on experience.

Qualifications

• 1–3 years of investment management or related financial services experience preferred; internships may be considered.
• Knowledge of equity, fixed income, and derivative products.
• Experience with investment compliance, guideline monitoring, or investment operations preferred.
• Familiarity with the Investment Company Act of 1940 or UCITS regulations is a plus.
• Experience coding or maintaining rules within a guideline monitoring system preferred; Sentinel experience is highly desirable.
• Strong Excel skills required; exposure to SQL, Python, or AI tools is a plus.
• Strong communication, organizational, and attention-to-detail skills.
• Bachelor’s degree in Finance, Business, or a related field required.

Responsibilities

• Monitor portfolio transactions and holdings for compliance with client guidelines and regulatory requirements.
• Interpret investment management agreements and translate investment restrictions into monitoring controls.
• Maintain and update rules within investment compliance monitoring systems.
• Provide pre-trade compliance support to investment professionals.
• Research and resolve post-trade compliance exceptions and guideline issues.
• Partner with Portfolio Management, Relationship Management, Product, and other internal teams.
• Develop an understanding of investment strategies and applicable regulatory requirements.
• Maintain accurate controls and documentation supporting guideline monitoring activities.

Skills

Equities

Fixed income

Derivatives

Sentinel

Excel

SQL

Python

Communication

Attention to detail

Education

Bachelor's degree in Finance/Business or related field

Tools

Sentinel

SQL

Python

Excel

AI tools

Job description

Investment Guideline Analyst

We are currently seeking candidates for an Investment Guideline Analyst opportunity with a highly successful global investment management firm in Boston, MA. The Investment Guideline Analyst will help ensure portfolio activity complies with client investment guidelines and regulatory requirements. The ideal candidate will have 1–3 years of investment management experience with knowledge of equity, fixed income, and derivative products.

This is a 6–12+ month contract opportunity paying $30–$40/hour, depending on experience, with potential to extend or convert. This role supports a hybrid work model in Boston, MA. Candidates must be local to the Greater Boston area and willing to work onsite 4 days per week in Boston, MA.

Responsibilities:

• Monitor portfolio transactions and holdings for compliance with client guidelines and regulatory requirements.
• Interpret investment management agreements and translate investment restrictions into monitoring controls.
• Maintain and update rules within investment compliance monitoring systems.
• Provide pre-trade compliance support to investment professionals.
• Research and resolve post-trade compliance exceptions and guideline issues.
• Partner with Portfolio Management, Relationship Management, Product, and other internal teams.
• Develop an understanding of investment strategies and applicable regulatory requirements.
• Maintain accurate controls and documentation supporting guideline monitoring activities.

Qualifications:

• 1–3 years of investment management or related financial services experience preferred; relevant internships may be considered.
• Working knowledge of equity, fixed income, and derivative products required.
• Experience with investment compliance, guideline monitoring, or investment operations preferred.
• Familiarity with the Investment Company Act of 1940 or UCITS regulations is a plus.
• Experience coding or maintaining rules within a guideline monitoring system preferred; Sentinel experience is highly desirable.
• Strong Excel skills required; exposure to SQL, Python, or AI tools is a plus.
• Strong communication, organizational, and attention-to-detail skills.
• Bachelor’s degree in Finance, Business, or a related field required.