Compliance Associate
Compliance Associate
This opportunity is for a hybrid role based in Boston, MA
Key Responsibilities
- Conduct routine investment compliance monitoring both before and after trades across various investment vehicles. Identify and escalate potential issues.
- Research compliance‑related matters and collaborate with internal teams to resolve discrepancies.
- Review global shareholder threshold reports, validate results, and determine whether any regulatory filings may be required.
- Assist in preparing required ownership‑related regulatory filings for global jurisdictions.
- Support the setup, maintenance, and enhancement of compliance monitoring systems, including coding and testing investment guideline restrictions.
- Interpret client or fund governing documents to identify relevant investment restrictions and implement them in compliance tools.
- Look for opportunities to streamline compliance processes through technology‑driven improvements, collaborating with technical teams when needed.
Qualifications & Skills
- Bachelor's degree and several years of hands‑on experience in investment compliance monitoring.
- 3 years of experience with trade order management and compliance platforms (CRD preferred)
- Ability to code and maintain investment restrictions within compliance tools.
- Familiarity with global shareholder reporting requirements and related technology platforms.
- Experience using financial data tools for research and analysis.
- Strong written and verbal communication skills, especially when summarizing complex regulatory topics.
- Ability to manage heavy workloads under time pressure with high accuracy.
- Strong analytical, organizational, and project management capabilities.
- Commitment to collaborative and inclusive teamwork.
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