Investment Compliance Analyst

We are currently seeking candidates for an Investment Compliance Analyst at a very reputable international investment firm with a location in Downtown Boston, MA, 02111. The ideal candidate will have 1-2+ years of investment management, financial services or industry-related experience; compliance experience is preferred. This is a temporary role (6+ months) and will pay up to $25.00 per hour (based on relative work experience) within a 40-hour work week.
 

PRINCIPAL RESPONSIBILITIES:

  • Assist the Investment Compliance Team with periodic tasks that pertain to, but not limited, the company’s monitoring of Client guidelines, Client Reporting process and Major Shareholder disclosures

  • Update compliance systems with applicable restrictions

  • Prepare monthly compliance reports, quarterly board reports, and other relevant reports

  • Review and comment on the current prospectus, statement of additional information, investment advisory agreement, and Declaration of Trust or Articles of Incorporation for each fund or account

  • Update and review all compliance testing for any changes to current fund or account investment objectives and policies

  • Ensure funds and accounts comply with applicable rules and regulations

  • Periodically review applicable procedures

JOB REQUIREMENTS:

  • Bachelor’s degree is required

  • 1-2+ years of investment management, financial services or industry-related experience; compliance experience is preferred

  • Must be thorough, detail-oriented, persistent, self-motivated, and able to function with a high degree of independence and accuracy

  • Must be able to work on multiple projects while meeting competing deadlines

  • Demonstrated ability to work effectively with employees and outside parties at all organizational levels

  • Proficient with MS Office Suite, particularly Excel, Word and PowerPoint
     

For immediate consideration, interested and qualified candidates please email updated resume in a Word document to hgorman@daleyaa.com

Key terms: compliance, mutual fund, Investment Compliance Analyst

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