Daley And Associates, LLC · 3 hours ago
Portfolio Compliance Analyst
Boston, MA
Contract
Onsite
Entry Level
$30/hr - $36/hr
1+ years expDaley 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
Hiring Manager
Alanna Ross
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
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
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.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Christyn Thatcher
CFO/COO
Hank Phillips
Principal & COO
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