Real-Time Investment Compliance Specialist | Boston/Needham

Daley And Associates, LLC.; Boston (MA); Vor Ort; USD 90.000 - 180.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Analytical thinking

Organization

Problem-solving

Attention to detail

Communication

Interpersonal skills

Teamwork

Independent work

Ausbildung

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

Tools

Excel

Word

Jobbeschreibung

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.