Portfolio Compliance Analyst jobs in United States
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Daley And Associates, LLC · 1 hour ago

Portfolio Compliance Analyst

positionBoston, MA
timeContract
remoteOnsite
seniorityEntry Level
money$30/hr - $36/hr
date1+ years exp

Daley And Associates, LLC is a leading investment management firm in Boston, MA, seeking a motivated Portfolio Compliance Analyst. This role supports active oversight of client guidelines and regulatory requirements, ensuring compliance with trades and portfolio holdings.

BankingConsultingFinancial ServicesHuman ResourcesInsurance
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Growth Opportunities
Hiring Manager
Alanna Ross
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Responsibilities

Support investment teams by ensuring trades and portfolio holdings comply with client guidelines and applicable regulations
Review Investment Management Agreements, interpret client restrictions, maintain and update the Sentinel guideline monitoring system, provide real-time pre-trade support, and address post-trade exceptions
Partner with Guideline Monitoring teammates and internal groups—including Global Relationship Teams, Product Management, and Portfolio Management—to understand investment strategies and how they align with regulatory and client requirements

Qualification

Investment compliance experienceInvestment productsGuideline monitoring experience40 Act/UCITS regulationsSentinel experienceProactive mindsetWordExcelCommunication skillsOrganizational skillsDetail-orientedTeamwork

Required

Bachelor's degree in Accounting, Finance, or a related field required
1–3 years of experience in investment management, ideally with exposure to compliance or guideline monitoring
Strong understanding of investment products: equities, fixed income, and derivatives
Experience with guideline monitoring, investment compliance, 40 Act/UCITS regulations, or coding rules into systems (Sentinel experience is a major plus)
Proactive, curious, and detail-oriented, with strong control awareness and a results-driven mindset
Excellent communication and organizational skills; able to handle multiple priorities and work both independently and within a team
Proficiency with standard business software, including Word and Excel

Company

Daley And Associates, LLC

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Daley and Associates is a boutique executive search and contract staffing firm specializing in the placement of Accounting, Finance, Information Technology, Legal, Administrative and Life Sciences professionals.
dateFounded in 2005
location
Boston, Massachusetts, USA
people-size11-50 employees
web-link
http://daleyaa.com

Funding

Current Stage
Early Stage

Leadership Team

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Christyn Thatcher
CFO/COO
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Hank Phillips
Principal & COO
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Company data provided by crunchbase