Robert Walters
4 days ago Be among the first 25 applicants
This range is provided by Robert Walters. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $100,000.00/yr - $145,000.00/yr
Direct message the job poster from Robert Walters
Our client is seeking a Trade Compliance Associate to join its Compliance team. This role offers the opportunity to work in a collaborative environment, ensuring trading activities comply with complex regulatory frameworks across asset classes and jurisdictions. You will partner with trading, operations, and compliance teams while developing expertise through continuous learning and teamwork.
Key Responsibilities
Oversee and resolve order management system (OMS) compliance exception alerts, both pre- and post-trade, by liaising effectively with the trading team to ensure unwavering regulatory adherence.
Provide comprehensive compliance oversight and guidance on both new and existing investments by addressing trade-related queries spanning multiple asset classes and global jurisdictions.
Monitor evolving regulatory developments worldwide, assess their implications for business practices, and update internal compliance policies and procedures as necessary to uphold exemplary standards.
Interpret intricate investment guidelines as well as regulatory requirements for seamless integration into the OMS across various funds and investment strategies.
Maintain precise restricted securities and issuer lists while ensuring their effective incorporation into daily investment workflows for optimal operational efficiency.
Administer wall-crossing processes by diligently tracking restricted individuals and managing material non-public information (MNPI) appropriately to safeguard sensitive data.
Support ad-hoc compliance initiatives such as audits, regulatory reviews, or system enhancements by collaborating with cross-functional teams to deliver timely outcomes.
Work closely with colleagues from trading, operations, and compliance to cultivate a culture of shared responsibility for regulatory compliance throughout the organization.
Contribute meaningfully to process improvements by identifying opportunities for enhanced accuracy or efficiency within compliance workflows.
Communicate clearly with stakeholders at all levels regarding compliance matters to foster understanding and alignment across the firm.
Key Requirements
A minimum of two to five years' demonstrable experience in investment compliance within financial services or asset management environments is required for success in this role.
Proficiency in utilizing Excel and Word for data analysis and documentation is essential; familiarity with SQL would be advantageous when addressing more complex tasks.
Experience working with order management systems such as Charles River or FlexTrade FlexOne-or comparable OMS/OEMS platforms-is highly desirable for efficient workflow management.
Exceptional attention to detail, coupled with an analytical approach, enables you to identify discrepancies promptly whilst maintaining rigorous standards of accuracy.
Sound judgement complemented by strong communication skills empowers you to prioritize tasks under pressure whilst collaborating effectively across teams.
Ability to interpret complex regulatory requirements and investment guidelines ensures seamless integration into operational systems supporting varied strategies.
Comfort operating across multiple asset classes-including equities, fixed income, and derivatives-and navigating global regulations enhances your versatility within the team.
Adaptability within demanding environments enables you to respond constructively to shifting priorities or urgent requests without compromising quality.
Commitment to ethical conduct underpins every aspect of your work, fostering trust among colleagues and stakeholders alike.
Willingness to participate in ad-hoc projects such as audits or system enhancements demonstrates your proactive approach towards continuous improvement.
What sets this company apart:
This organization distinguishes itself through its enduring reputation for delivering superior risk‑adjusted returns via proprietary value‑based investment strategies developed over more than thirty years.
If interested in this position, please contact Ryan Green at 332-205-3881 and Ryan.Green@robertwalters.com
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Finance
Referrals increase your chances of interviewing at Robert Walters by 2x
Get notified about new Compliance Associate jobs in
Boston, MA .
#J-18808-Ljbffr
This range is provided by Robert Walters. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $100,000.00/yr - $145,000.00/yr
Direct message the job poster from Robert Walters
Our client is seeking a Trade Compliance Associate to join its Compliance team. This role offers the opportunity to work in a collaborative environment, ensuring trading activities comply with complex regulatory frameworks across asset classes and jurisdictions. You will partner with trading, operations, and compliance teams while developing expertise through continuous learning and teamwork.
Key Responsibilities
Oversee and resolve order management system (OMS) compliance exception alerts, both pre- and post-trade, by liaising effectively with the trading team to ensure unwavering regulatory adherence.
Provide comprehensive compliance oversight and guidance on both new and existing investments by addressing trade-related queries spanning multiple asset classes and global jurisdictions.
Monitor evolving regulatory developments worldwide, assess their implications for business practices, and update internal compliance policies and procedures as necessary to uphold exemplary standards.
Interpret intricate investment guidelines as well as regulatory requirements for seamless integration into the OMS across various funds and investment strategies.
Maintain precise restricted securities and issuer lists while ensuring their effective incorporation into daily investment workflows for optimal operational efficiency.
Administer wall-crossing processes by diligently tracking restricted individuals and managing material non-public information (MNPI) appropriately to safeguard sensitive data.
Support ad-hoc compliance initiatives such as audits, regulatory reviews, or system enhancements by collaborating with cross-functional teams to deliver timely outcomes.
Work closely with colleagues from trading, operations, and compliance to cultivate a culture of shared responsibility for regulatory compliance throughout the organization.
Contribute meaningfully to process improvements by identifying opportunities for enhanced accuracy or efficiency within compliance workflows.
Communicate clearly with stakeholders at all levels regarding compliance matters to foster understanding and alignment across the firm.
Key Requirements
A minimum of two to five years' demonstrable experience in investment compliance within financial services or asset management environments is required for success in this role.
Proficiency in utilizing Excel and Word for data analysis and documentation is essential; familiarity with SQL would be advantageous when addressing more complex tasks.
Experience working with order management systems such as Charles River or FlexTrade FlexOne-or comparable OMS/OEMS platforms-is highly desirable for efficient workflow management.
Exceptional attention to detail, coupled with an analytical approach, enables you to identify discrepancies promptly whilst maintaining rigorous standards of accuracy.
Sound judgement complemented by strong communication skills empowers you to prioritize tasks under pressure whilst collaborating effectively across teams.
Ability to interpret complex regulatory requirements and investment guidelines ensures seamless integration into operational systems supporting varied strategies.
Comfort operating across multiple asset classes-including equities, fixed income, and derivatives-and navigating global regulations enhances your versatility within the team.
Adaptability within demanding environments enables you to respond constructively to shifting priorities or urgent requests without compromising quality.
Commitment to ethical conduct underpins every aspect of your work, fostering trust among colleagues and stakeholders alike.
Willingness to participate in ad-hoc projects such as audits or system enhancements demonstrates your proactive approach towards continuous improvement.
What sets this company apart:
This organization distinguishes itself through its enduring reputation for delivering superior risk‑adjusted returns via proprietary value‑based investment strategies developed over more than thirty years.
If interested in this position, please contact Ryan Green at 332-205-3881 and Ryan.Green@robertwalters.com
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Finance
Referrals increase your chances of interviewing at Robert Walters by 2x
Get notified about new Compliance Associate jobs in
Boston, MA .
#J-18808-Ljbffr