Investment Compliance Analyst - Daley and Associates
Boston, MA
About the Job
Investment Compliance Analyst
We are currently seeking candidates for an Investment Compliance Analyst opportunity with a highly successful Investment Management firm located in Boston, MA. The Investment Compliance Analyst will review shareholder disclosures and client onboarding processes, provide commentary relating to investment guidelines, and ensure compliance with rules and regulations. The ideal candidate will have 2-3+ years of related investment compliance experience.
This is a 6-month contract opportunity (with potential to extend), paying $25-$33/hour (depending on experience).
Work Model: Hybrid – on-site 3 days and remote 2 days/week.
Location: Boston, MA
Responsibilities:
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We are currently seeking candidates for an Investment Compliance Analyst opportunity with a highly successful Investment Management firm located in Boston, MA. The Investment Compliance Analyst will review shareholder disclosures and client onboarding processes, provide commentary relating to investment guidelines, and ensure compliance with rules and regulations. The ideal candidate will have 2-3+ years of related investment compliance experience.
This is a 6-month contract opportunity (with potential to extend), paying $25-$33/hour (depending on experience).
Work Model: Hybrid – on-site 3 days and remote 2 days/week.
Location: Boston, MA
Responsibilities:
- Partner with Investment Compliance team and support day-to-day operations
- Assist with compliance processes related to major shareholder disclosures and client onboarding
- Research, review, and prepare shareholder disclosure alerts investment guidelines
- Monitor funds and accounts and ensure investment compliance is maintained with rules and regulations
- Provide commentary on investment advisory agreements, current prospectus, declarations of trusts, statements of additional information, and articles of incorporation for each fund and account
- Utilize knowledge of investment compliance regulatory requirements for US and non-US jurisdictions
- Perform necessary research and additional reporting
- Bachelor’s degree in Finance, Business, Economics, or related field
- 2-3+ years of related compliance experience in investment management or financial services
- Previous experience with major shareholder disclosers
- Proficiency in Microsoft Office (Word, PPT, Excel, Outlook)
- Excellent communication (written and verbal) and interpersonal skills
- Strong organization, time-management, and problem-solving skills
- Ability to learn and utilize internal systems, software, and tools
- Proven ability to work well in team and independent environments
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Source : Daley and Associates
