Daley And Associates, LLC.

Compliance Analyst - 24619

Daley And Associates, LLC. Boston, MA
Daley And Associates, LLC.

Compliance Analyst - 24619

Daley And Associates, LLC. Boston, MA
1 week ago 65 applicants

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Alanna Ross

Alanna Ross

Senior Associate at Daley & Associates, LLC.

Compliance Analyst – Investment Management – Boston, MA

We are seeking candidates for a Compliance Analyst position with an industry-leading Investment Management firm located in Boston, MA. This position will be part of the Portfolio Integrity Team and will provide the firm’s investment team with the data, controls, and support to ensure that their investment intent is accurately reflected with client regulatory and operational requirements.

This is a 12+ month contract that will pay $30-39/hr (depending on experience) within a 40-hour work week. This position is required to be onsite 3 days/wk in the Boston office.

Responsibilities:

  • Provide support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements;
  • The Analyst will be part of the team that:
    • Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, Sentinel
    • Performs real-time, pre-trade support with investors
    • Resolves post-trade incident exceptions generated from Sentinel
  • Collaborate with other Investment Monitoring Analysts, as well as other internal teams, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements
Qualifications:

  • Bachelor’s degree in Accounting, Finance, or related field required
  • 1-3 years of experience within investment management (REQUIRED)
  • Strong working knowledge of all investment types, including equity, fixed income products, and derivates
  • Prior experience monitoring investment guideline monitoring, working in a compliance role, understand regulatory requirements for 40 Act and UCITs funs, and coding investment restrictions is a plus
  • Prior experience with Sentinel is a plus
  • Proficiency with MS Office Suite
  • Strong organizational and excellent communication skills
  • Ability to work both independently and within at team

If you are interested in learning more about this opportunity, please email your resume to Allie at aross@daleyaa.com.

  • Seniority level

    Entry level

  • Employment type

    Contract

  • Job function

    Legal

  • Industries

    Staffing and Recruiting

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