Investment Compliance Analyst
Boston-based investment management firm founded in 1991 that develops proprietary value-based investment strategies for hedge funds and institutional accounts.
About Weiss Asset Management
Weiss Asset Management LP is an active investment management firm focused on identifying undervalued assets through fundamental research, statistical analysis, and rigorous decision-making. Its website reports more than $4 billion in assets under management, 130+ employees, and coverage of 50+ markets.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will monitor pre- and post-trade compliance activity, investigate and resolve exceptions, and escalate issues when needed. You will maintain and test trading compliance rules in the order management system, analyze trade and position data using SQL, and automate recurring compliance processes. You will also maintain restricted-security lists, support MNPI processes, track regulatory developments, and assist with filings, audits, system upgrades, and other compliance projects.
Requirements
- Working proficiency in SQL
- Summer 2027 graduation or 1–3 years of relevant professional experience
Responsibilities
- Monitor and resolve pre- and post-trade compliance alerts across funds and strategies
- Identify exceptions and patterns in data and escalate issues as needed
- Interpret, maintain, and test trading compliance rules in the order management system
- Support investment-related compliance questions
- Analyze trade, position, and compliance data in SQL
- Support recurring reviews, reconciliations, and investigations
- Automate manual tasks using code and AI tools
- Design scalable workflows for compliance reviews and escalations
- Maintain restricted securities and issuer lists
- Support wall-crossing and MNPI processes
- Track regulatory developments and assess their impact
- Support regulatory filings, audits, system upgrades, and ad-hoc compliance projects