Daley And Associates, LLC
Guideline Monitoring Analyst
We are currently seeking candidates for a
Guideline Monitoring Analyst
opportunity with a global investment management firm in Boston, MA. The analyst will support investment teams by ensuring transactions and holdings comply with client, regulatory, and operational requirements. The ideal candidate will have 1–3 years of investment management experience and a strong understanding of investment products, guideline monitoring, and compliance processes.
This is a 6‑month contract opportunity, paying between $30–$36/hour (depending on experience). This role supports a hybrid work model (4 days onsite, 1 day remote).
Responsibilities
Provide support to investment teams to ensure investment transactions and holdings meet client guideline and regulatory requirements.
Review Investment Management Agreements, evaluate client restrictions, and maintain the guideline monitoring system (Sentinel).
Perform real‑time pre‑trade support for investors and resolve post‑trade incidents generated from Sentinel.
Collaborate with fellow Guideline Monitoring Analysts, Global Relationship Teams, Product Management, and Portfolio Management to develop a deep understanding of investment strategies and regulatory obligations.
Assist in maintaining accurate controls and documentation related to guideline monitoring processes.
Qualifications
Bachelor’s degree in Accounting, Finance, or related field required.
1–3 years of experience in investment management.
Strong working knowledge of equity, fixed income, and derivative investment products.
Experience monitoring investment guidelines or working in investment compliance preferred; familiarity with 40 Act and UCITS regulations a plus.
Experience coding investment restrictions into a compliance monitoring system (Sentinel experience highly advantageous).
Strong attention to detail, strong organizational skills, and the ability to manage competing priorities.
Excellent communication skills and ability to work independently and collaboratively.
Proficiency with Microsoft Word, Excel, and similar tools.
For immediate consideration, interested and qualified candidates should send their resume to Jackson at jnichols@daleyaa.com.
Seniority level
Entry level
Employment type
Contract
Job function
Business Development
#J-18808-Ljbffr
Guideline Monitoring Analyst
opportunity with a global investment management firm in Boston, MA. The analyst will support investment teams by ensuring transactions and holdings comply with client, regulatory, and operational requirements. The ideal candidate will have 1–3 years of investment management experience and a strong understanding of investment products, guideline monitoring, and compliance processes.
This is a 6‑month contract opportunity, paying between $30–$36/hour (depending on experience). This role supports a hybrid work model (4 days onsite, 1 day remote).
Responsibilities
Provide support to investment teams to ensure investment transactions and holdings meet client guideline and regulatory requirements.
Review Investment Management Agreements, evaluate client restrictions, and maintain the guideline monitoring system (Sentinel).
Perform real‑time pre‑trade support for investors and resolve post‑trade incidents generated from Sentinel.
Collaborate with fellow Guideline Monitoring Analysts, Global Relationship Teams, Product Management, and Portfolio Management to develop a deep understanding of investment strategies and regulatory obligations.
Assist in maintaining accurate controls and documentation related to guideline monitoring processes.
Qualifications
Bachelor’s degree in Accounting, Finance, or related field required.
1–3 years of experience in investment management.
Strong working knowledge of equity, fixed income, and derivative investment products.
Experience monitoring investment guidelines or working in investment compliance preferred; familiarity with 40 Act and UCITS regulations a plus.
Experience coding investment restrictions into a compliance monitoring system (Sentinel experience highly advantageous).
Strong attention to detail, strong organizational skills, and the ability to manage competing priorities.
Excellent communication skills and ability to work independently and collaboratively.
Proficiency with Microsoft Word, Excel, and similar tools.
For immediate consideration, interested and qualified candidates should send their resume to Jackson at jnichols@daleyaa.com.
Seniority level
Entry level
Employment type
Contract
Job function
Business Development
#J-18808-Ljbffr