Investment Compliance Analyst - Asset Manager

Location: Boston, Massachusetts Salary: US$65000 - US$85000 per annum + bonus
Sector: Banking and Finance Type: Permanent

Role: Investment Compliance Analyst - Equities

Type: Full Time, Permanent

Salary: 65-85K base + bonus

Who: Global Asset Manager

Location: Boston, MA

The Investment Compliance Monitoring Group is responsible for reducing the risk of trade error or compliance exceptions. Responsible for the monitoring of compliance.

This individual, the Investment Compliance Analyst - Equities, will sit on the equity trading desk and is responsible for daily monitoring of all trade activity for compliance.


  • Conduct day of trade monitoring for equity investment activities
  • Make sure the trades are compliant with the given portfolio limitation before the trade execution.
  • Review fund guidelines ensure compliance limits are appropriately translated into the monitoring system.
  • Identify and raise awareness to any potential compliance violations.
  • Liaise with necessary teams to resolve issues in a quickly
  • Identify potential issues impacting the portfolios or gaps in department policies and procedures and escalates as appropriate.
  • Communicate with other Compliance business units
  • Day-to-day interaction with front/middle office personnel to ensure that investment limits are understood and issues are resolved in an appropriate and timely manner.
  • Interface with Legal groups to address matters that arise
  • Participate in training meetings with investment professionals on the limits assigned to their funds/accounts.


  • Bachelor's degree in finance, accounting, or economics or relevant job experience preferred
  • 4-7 years' experience in financial services, preferably in the area of investment compliance, investment support or investment operations
  • Strong organizational skills and multi-tasking skills
  • Highly analytically, strong problem solving skills and attention to details
  • Excellent verbal and written communication
  • Strong presentation skills
  • Ability to work across multiple functions, and proven team player
  • Strong Microsoft Office skills
  • Experience working on Trade management systems

Sthree US is acting as an Employment Agency in relation to this vacancy.