Senior Analyst, Investment Compliance | Boston, MA | $90K–$180K Base + Bonus

Daley And Associates, LLC.; Boston (MA); Hybrid; USD 90,000 - 180,000; Full time

Benefits offered by this job

Discretionary bonus

Hybrid schedule (4 in office, 1 remote

Job summary

Daley And Associates, LLC. in Boston, MA, is seeking a Senior Analyst, Investment Compliance to support the Investment Operations team. You will monitor activity, ensure client guideline compliance, and gain exposure to a broad range of strategies including equities, fixed income, and derivatives.

The role offers a hybrid schedule (4 days in office, 1 day remote) with a base salary of $90K–$180K plus discretionary bonus and comprehensive benefits.

Qualifications

• Bachelor's degree in Finance, Business, or a related field.
• 4-7 years of relevant industry experience.
• Working knowledge of investment products including equities, fixed income, and derivatives.
• Background in investment compliance, guideline monitoring, or related financial services function preferred.
• Strong analytical, organizational, and problem-solving skills.
• Excellent attention to detail and a controls-oriented mindset.
• Strong communication skills and ability to collaborate across teams.
• Proficiency in Microsoft Office, particularly Excel and Word.

Responsibilities

• Review Investment Management Agreements and interpret client guidelines.
• Maintain and monitor client guidelines within the monitoring system.
• Provide real-time, pre-trade compliance support to investment professionals.
• Investigate and resolve post-trade compliance exceptions and alerts.
• Monitor transactions and holdings for guideline and regulatory compliance.
• Partner with Portfolio Management, Product Management, and Global Relationship teams.

Skills

Analytical abilities

Organizational skills

Problem-solving

Communication skills

Microsoft Office

Education

Bachelor's degree in Finance or related field

Tools

Microsoft Excel

Microsoft Word

Job description

Senior Analyst, Investment Compliance | Boston, MA | $90K-180K Base + Bonus

A leading global investment management firm is seeking a Senior Analyst, Investment Compliance to join its Investment Operations team in Boston.

This role works closely with portfolio managers and investment teams to monitor investment activity, ensure compliance with client guidelines, and gain exposure to a broad range of investment strategies and asset classes, including equities, fixed income, and derivatives.

Key Responsibilities

• Review Investment Management Agreements and interpret client investment guidelines and restrictions.
• Maintain and monitor client guidelines within the firm's investment compliance monitoring system.
• Provide real-time, pre-trade compliance support to investment professionals.
• Investigate and resolve post-trade compliance exceptions and monitoring alerts.
• Monitor investment transactions and portfolio holdings for compliance with client guidelines and regulatory requirements.
• Partner with Portfolio Management, Product Management, Global Relationship teams, and other internal stakeholders.
• Develop a strong understanding of investment strategies, client mandates, and applicable regulatory requirements.

Qualifications

• Bachelor's degree in Finance, Business, or a related field.
• 4-7 years of relevant industry experience.
• Working knowledge of investment products, including equities, fixed income, and derivatives.
• Background in investment compliance, guideline monitoring, investment operations, or a related financial services function preferred.
• Strong analytical, organizational, and problem-solving skills.
• Excellent attention to detail and a controls-oriented mindset.
• Strong communication skills and ability to collaborate across investment and operational teams.
• Proficiency in Microsoft Office, particularly Excel and Word.

Compensation & Work Environment

• $90K-180K base salary, commensurate with experience.
• Eligible for discretionary bonus and additional incentive compensation, where applicable.
• Comprehensive benefits package.
• Boston-based position with a hybrid schedule (4 days in office, 1 day remote).