Compliance Analyst- Investment Management- Boston, MA

We are seeking candidates for a Compliance Analyst located in Boston, MA 02111. This role will support the Portfolio Guideline Monitoring and Portfolio Integrity Team within Portfolio Services. The ideal candidate will provide the investment teams with the data, controls, and supported needed to ensure that their investment intent is accurately reflected in accordance with client regulatory and operational requirements

 

This is a 12+ month contract position, onsite 2-3 days/week, that will pay $25-35 per hour within a 40-hour workweek.

 

Responsibilities:

  • Ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements
  • Review Investment Management Agreements
  • Evaluate client guidelines and maintain the guideline monitoring system, Sentinel
  • Perform real-time, pre-trade support with investors
  • Resolve post-trade incident exceptions generated from Sentinel
  • Collaborate with other Guideline monitoring Analyst, as well as internal teams, such as the Global Relationship Teams, Product Management and Portfolio Management
  • Develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements

Qualifications:

  • Bachelor’s degree required
  • 1-3 years of experience preferred
  • Investment Management experience required
  • Experience with fixed income
  • Compliance experience preferred, such as knowledge of the 40Act and UCIT Funds
  • Experience with Sentinel is ideal
  • Strong communication skills
  • Strong Excel preferred

 

If you are interested in learning more about this position, please email your resume to Olivia at ociviello@daleyaa.com.

 

#LI-OC1

 

 

Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT.

We are uploading your application. It may take a few moments to read your resume. Please wait!