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Daley and Associates

Guideline Compliance Analyst

Daley and Associates, Boston

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Guideline Compliance Analyst
Were currently hiring for a Guideline Compliance Analyst t role with a top private equity firm based in Boston, MA. This position focuses on making sure investment transactions and portfolio holdings align with client guidelines and regulatory standards. The ideal candidate will have 13+ years of experience in the financial services industry.

Guideline Compliance Analyst
Were currently hiring for a Guideline Compliance Analyst t role with a top private equity firm based in Boston, MA. This position focuses on making sure investment transactions and portfolio holdings align with client guidelines and regulatory standards. The ideal candidate will have 13+ years of experience in the financial services industry.
This is a 5+ month contract opportunity, paying between $30-$40/hour (depending on experience).
This role supports a hybrid work-model, consisting of 3 onsite and 2 remote days/week.
Responsibilities:

  • Work closely with the portfolio services and investment teams to support daily operations and ongoing initiatives
  • Monitor investment activity to ensure compliance with client-specific guidelines and regulatory standards
  • Review Investment Management Agreements (IMAs), interpret client restrictions, and manage the guideline monitoring platform (Sentinel)
  • Provide pre-trade compliance support in coordination with investors
  • Investigate and resolve post-trade exceptions flagged by Sentinel
  • Maintain strong communication with Compliance, Global Relationships, Product Management, and Portfolio Management teams
  • Build and apply a solid understanding of investment strategies in the context of client mandates and regulatory obligations
Qualifications:
  • Bachelors degree in Finance, Accounting, or a related discipline
  • 13+ years of experience in investment management or a financial services environment
  • Familiarity with various investment products, including equities, fixed income, and derivatives
  • Background in investment guideline monitoring, compliance functions, and knowledge of regulatory frameworks such as 1940 Act and UCITS
  • Strong written and verbal communication skills, with the ability to work effectively across teams
  • Proficient in Microsoft Office, particularly Excel
  • Experience using compliance monitoring tools, ideally Sentinel
  • High attention to detail and a natural curiosity to learn and improve
  • Well-organized with strong time management and the ability to manage competing priorities
  • Self-starter who thrives in deadline-driven settings
For immediate consideration, interested and qualified candidates should send their resumes to Lydia at
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Seniority level
  • Seniority level
    Entry level
Employment type
  • Employment type
    Contract
Job function
  • Job function
    Legal
  • Industries
    Staffing and Recruiting

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