Portfolio Compliance & AI Automation Specialist

Madison-Davis, LLC; Boston (MA); On-site; USD 120,000 - 160,000; Full time

Job summary

Madison-Davis, LLC, a Boston-based investment management firm, is seeking an experienced Portfolio Compliance professional to oversee guideline monitoring, trading restrictions, and regulatory compliance across global strategies. The role collaborates with portfolio managers, trading, legal, and compliance to ensure activities meet client mandates and regulatory requirements.

It emphasizes automation and AI, with opportunities to design and implement technology-driven monitoring solutions.

Qualifications

• 5–7 years in asset management or investment compliance.
• Knowledge of equity securities, derivatives and trading activities.
• Experience interpreting investment restrictions, monitoring alerts, and assessing trading activity.
• Involvement in automation, workflow optimization, or technology enhancements.
• Strong analytical, problem-solving, and organizational skills.
• Ability to manage competing priorities in a fast-paced environment.
• Excellent communication across investment, technology, and compliance teams.
• Proactive, independent approach to identifying and resolving issues.

Responsibilities

• Monitor portfolios and proposed transactions for adherence to client mandates, investment restrictions and regulatory requirements.
• Review and resolve daily compliance alerts, trading exceptions, and potential guideline breaches.
• Interpret complex investment guidelines and translate requirements into actionable trading controls.
• Configure and maintain investment restrictions and monitoring rules within portfolio compliance systems.
• Participate in portfolio rebalancing reviews and assess proposed investment activity for compliance implications.
• Identify opportunities to automate compliance monitoring, improve workflows, and reduce manual processes.
• Support design, testing and implementation of technology-driven compliance solutions.
• Collaborate with technology and business teams on system enhancements and new investment initiatives.
• Partner with portfolio management, trading, legal, and client service teams to address questions and compliance matters.
• Evaluate investment restrictions associated with new client mandates, strategies and financial instruments.
• Support the implementation of regulatory changes affecting investment activities.
• Provide guidance to junior team members and assist with complex compliance inquiries.

Skills

Asset management compliance

Investment trading

Automation/AI initiatives

Analytical/problem solving

Cross-functional collaboration

Communication skills

Prioritization in fast-paced env

Tools

Compliance systems

Automation tooling

Job description

Madison-Davis, LLC, a Boston-based investment management firm, is seeking an experienced Portfolio Compliance professional to oversee guideline monitoring, trading restrictions, and regulatory compliance across global strategies. The role collaborates with portfolio managers, trading, legal, and compliance to ensure activities meet client mandates and regulatory requirements.

It emphasizes automation and AI, with opportunities to design and implement technology-driven monitoring solutions.