Portfolio Compliance Analyst

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

Job summary

Daley And Associates, LLC is seeking a Portfolio Compliance Analyst in Boston, MA to support the Investment Operations Team. You will ensure transactions and holdings comply with client guidelines and regulatory requirements, with 1+ year of relevant experience in equities, fixed income, and derivatives.

The role is a 6-12+ month contract offering a hybrid work model in our Boston office. The ideal candidate has knowledge of investment products and a proactive, detail-oriented approach to

Qualifications

• 1+ year of relevant industry experience.
• Bachelor’s degree in Finance, Business, Economics, or a related field.
• Experience in guideline monitoring, investment operations, or regulatory requirements is a plus.
• Strong analytical, organizational, and problem-solving skills.
• Highly detail-oriented and able to manage multiple priorities and meet deadlines.
• Strong communication and interpersonal skills.
• Comfortable working independently and as part of a team.
• Exposure to AI, Python, or SQL is a plus.

Responsibilities

• Support investment teams by ensuring transactions and portfolio holdings comply with client investment guidelines and regulatory requirements.
• Review Investment Management Agreements and assess client-specific investment guidelines.
• Maintain and update the Sentinel guideline monitoring system.
• Provide real-time, pre-trade support to investment professionals.
• Investigate and resolve post-trade exceptions identified through Sentinel.
• Collaborate with Guideline Monitoring Analysts and cross-functional teams.

Skills

Analytical

Organizational skills

Problem-solving

Communication

Interpersonal

Independent work

Team collaboration

Detail-oriented

Prioritization

Education

Bachelor’s degree in Finance/Business/Economics

Tools

Microsoft Word

Microsoft Excel

Job description

Portfolio Compliance Analyst - Boston, MA

We are seeking candidates for a Portfolio Compliance Analyst position with a leading investment management firm located in Boston, MA. This position will support the Investment Operations Team, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements. The ideal candidate will have 1+ years of relevant industry experience with working knowledge of investment products, including equities, fixed income, and derivatives.

This is a 6-12+ month contract position that will pay $30-40/hr (depending on experience) within a 40-hour workweek. This position supports a hybrid work model in their Boston office.

Responsibilities

• Support investment teams by ensuring transactions and portfolio holdings comply with client investment guidelines and regulatory requirements.




• Review Investment Management Agreements and assess client-specific investment guidelines.




• Maintain and update the Sentinel guideline monitoring system.




• Provide real-time, pre-trade support to investment professionals.




• Investigate and resolve post-trade exceptions identified through Sentinel.




• Collaborate with Guideline Monitoring Analysts and cross-functional teams, including Global Relationship Management, Product Management, and Portfolio Management.




• Develop a strong understanding of investment strategies, client guidelines, and applicable regulatory requirements.

Qualifications

• 1+ year of relevant industry experience, including internships.




• Bachelor’s degree in Finance, Business, Economics, or a related field.




• Working knowledge of investment products, including equities, fixed income, and derivatives.




• Experience in guideline monitoring, investment operations, compliance, or knowledge of regulatory requirements is a plus but not required.




• Strong analytical, organizational, and problem-solving skills.




• Highly detail-oriented, controls-focused, and ability to manage multiple priorities and meet deadlines.




• Strong communication and interpersonal skills.




• Comfortable working both independently and as part of a collaborative team.




• Self-motivated, inquisitive, results-oriented, and eager to learn.




• Strong computer skills, particularly Microsoft Word and Excel.




• Exposure to AI, Python, or SQL is a plus but not required.