Trade Compliance Associate

Weiss Asset Management • Boston, MA

92d

About The Position

Weiss Asset Management (WAM), a Boston-based investment firm, is seeking a Trade Compliance Associate to join our Compliance team. The ideal candidate is detail-orientated, analytical, and comfortable working across multiple asset classes and global regulations. They should bring sound judgement, strong communication skills, and the ability to prioritize under pressure while collaborating effectively with the trading, operations, and compliance teams. This role is a fit for someone who values teamwork, adapts quickly, and performs well in a fast-paced environment requiring both precision and practical judgment.

Requirements

• 3–5 years of investment compliance experience required.
• Must be proficient in Excel and Word; SQL a plus.

Nice To Haves

• Experience with Charles River, FlexTrade FlexOne, or similar OMS/OEMS preferred.

Responsibilities

• Manage and resolve OMS compliance exception alerts (pre- and post-trade) in coordination with the trading team.
• Provide compliance oversight and guidance on new and existing investments, addressing trade-related inquiries across asset classes and jurisdictions.
• Monitor regulatory developments globally, assess impact, and update compliance policies and procedures accordingly.
• Interpret and implement investment guidelines and regulatory requirements within the OMS across funds and strategies.
• Maintain restricted securities and issuer lists, ensuring accuracy and integration into investment workflows.
• Lead wall-crossing processes, including tracking restricted individuals and managing MNPI appropriately.
• Support ad-hoc compliance projects, including audits, regulatory reviews, and system enhancements.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level