Investment Compliance Analyst
About The Position
Weiss Asset Management (WAM), a Boston-based investment firm, is seeking an Investment Compliance Analyst to join our Compliance team. This role sits at the intersection of investment compliance, trading, and data, with responsibility for monitoring trade activity, resolving compliance exceptions, and improving the systems and processes that support ongoing compliance monitoring. Candidates graduating in Summer 2027, as well as those with 1-3 years of relevant professional experience, are encouraged to apply. Working proficiency in SQL is required; experience with Python, automation, AI tools, or order management systems is a plus. This is a full-time, in-office role based in Boston.
Requirements
- Working proficiency in SQL
- Candidates graduating in Summer 2027, as well as those with 1-3 years of relevant professional experience, are encouraged to apply.
Nice To Haves
- Experience with Python
- Experience with automation
- Experience with AI tools
- Experience with order management systems
Responsibilities
- Monitor and resolve pre- and post-trade compliance alerts across funds and strategies, using data to spot exceptions and patterns and escalating issues with traders and internal teams as needed.
- Interpret, maintain, and test trading compliance rules in the firm's order management system (OMS), and support investment-related compliance questions.
- Analyze trade, position, and compliance data in SQL to support recurring reviews, reconciliations, and investigations.
- Automate manual tasks with code and AI tools, building solutions that make compliance monitoring more efficient and repeatable.
- Design systematic, scalable workflows for compliance reviews and escalations.
- Maintain restricted securities and issuer lists across firm systems and support wall-crossing and MNPI processes.
- Track regulatory developments and assess their impact on trading activity, compliance rules, policies, and procedures.
- Support regulatory filings, audits, system upgrades, and ad-hoc compliance projects.
Benefits
- Base Salary: $85,000–$125,000 per year, depending on experience.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
