Compliance Associate

Location & Salary Boston, Ma – Hybrid $80-100K + Bonus Key Responsibilities Perform daily investment compliance monitoring on a pre trade and post trade basis for registered funds, pooled investment vehicles and separately managed accounts. Identify exceptions and elevate any potential issues. Research pre trade or post trade investment compliance matters and collaborate with appropriate stakeholders (e.g., Portfolio Management, Trade Operations, or Data Operations) to resolve as needed. Perform daily review of global shareholder thresholds, including validating results and researching reporting requirements. Escalate any potential reporting requirements. Assist with preparing global shareholder ownership filings for submission to applicable regulatory authorities as needed. Assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. Ensure proper restriction coding in the order management system and conduct testing on new and existing investment restrictions. Identify compliance restrictions from governing documents for new accounts and amendments to existing accounts. Code restrictions into the compliance system, as needed. Identify opportunities to improve compliance workflows through technology-driven solutions. When needed, collaborate with Technology to effectively communicate requirements from business perspective. #J-18808-Ljbffr KBW Financial Staffing & Recruiting