COMPLIANCE MONITORING ANALYST

We are currently seeking candidates for a Compliance Monitoring Analyst opportunity with a highly successful alternative asset management firm located in Boston, MA. The Compliance Monitoring Analyst will focus on providing support to investment teams to ensure investment transactions and holdings are compliant with client guidelines and regulatory requirements. The ideal candidate will have 1-3+ years of related compliance, guideline monitoring, or client reporting experience in investment management of financial services.
This is a 5+ month contract opportunity, paying between $30-$40/hour (depending on experience).
This role supports a hybrid work-model, consisting of 3 onsite days and 2 remote days per week.

Qualifications:

• Bachelor’s degree in Finance, Accounting, or related field
• 1-3+ years of compliance, guideline reporting, client reporting, or related experience in investment management firm or financial services firm
• Working knowledge of all investment types, including equity and fixed income products, and derivative instruments
• Experience monitoring investment guidelines, working in an investment compliance role, and understanding regulatory requirements for 40 Act and UCITs funds
• Excellent communication (written and verbal) and interpersonal skills
• Strong technical skills, including proficiency with Microsoft Office Suite (especially Excel)
• Experience utilizing a compliance monitoring system (preferably Sentinel)
• Strong attention to detail and demonstrated intellectual curiosity
• Great organization, time management, and prioritization skillsSelf-motivated and deadline-drive

• Partner with portfolio services and investment teams to support daily activities and operational proceedings
• Ensure 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)
• Collaborate with investors and provide pre-trade support
• Resolve post-trade incident exceptions generated from Sentinel
• Maintain active and open communication with Compliance, Global Relationships, Product Management, and Portfolio Management
• Develop and utilize solid understanding of investment strategies relative to client guidelines and regulatory requirements
• Provide additional support as needed

Qualifications:

• Bachelor’s degree in Finance, Accounting, or related field
• 1-3+ years of compliance, guideline reporting, client reporting, or related experience in investment management firm or financial services firm
• Working knowledge of all investment types, including equity and fixed income products, and derivative instruments
• Experience monitoring investment guidelines, working in an investment compliance role, and understanding regulatory requirements for 40 Act and UCITs funds
• Excellent communication (written and verbal) and interpersonal skills
• Strong technical skills, including proficiency with Microsoft Office Suite (especially Excel)
• Experience utilizing a compliance monitoring system (preferably Sentinel)
• Strong attention to detail and demonstrated intellectual curiosity

• Great organization, time management, and prioritization skillsSelf-motivated and deadline-driven

• For immediate consideration, interested and qualified candidates should send their resumes to Jenny at jfriedman@daleyaa.com.

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