Trade Compliance Associate jobs in United States
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Weiss Asset Management · 2 months ago

Trade Compliance Associate

positionBoston, Massachusetts, United States
timeFull-time
remoteOnsite
seniorityEntry, Mid Level
date2+ years exp

Weiss Asset Management (WAM) is a Boston-based investment firm seeking a Trade Compliance Associate to join their Compliance team. The role involves managing compliance exception alerts, providing oversight on investments, and monitoring regulatory developments globally.

Asset ManagementFinanceMarket Research
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Growth Opportunities

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

Qualification

Investment compliance experienceCharles RiverFlexTrade FlexOneExcelWordSQLAnalytical skillsCommunication skillsDetail-orientedTeamwork

Required

2–5 years of investment compliance experience required
Must be proficient in Excel and Word
SQL a plus

Preferred

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

Company

Weiss Asset Management

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Weiss Asset Management is an asset & investment management and market research company.
dateFounded in 1991
location
Boston, Massachusetts, USA
people-size51-200 employees
web-link
https://www.weissasset.com

Funding

Current Stage
Growth Stage

Leadership Team

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Andrew Weiss
CEO
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Emma Rausch
Chief People Officer
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