Daley And Associates, LLC · 6 hours ago
Investment Compliance Analyst
Boston, MA
Contract
Hybrid
Entry Level
$30/hr - $40/hr
1+ years expDaley And Associates, LLC is an elite investment management firm located in Boston, MA, seeking an Investment Compliance Analyst. The role involves ensuring compliance with ethics rules and regulatory requirements while supporting operational efficiency and training initiatives.
BankingConsultingFinancial ServicesHuman ResourcesInsurance
Responsibilities
Respond to employee inquiries regarding Code of Ethics policies and requirements
Support operational, system, and data-driven components of the Code of Ethics program, identifying opportunities to improve efficiency through technology
Partner with global compliance colleagues, Operational Risk, and Internal Audit to ensure consistent and coordinated outcomes
Assist with broader Legal, Compliance, and Risk initiatives as needed
Develop and deliver regulatory training related to ethics and compliance requirements
Support responses to regulatory inquiries and examinations
Serve as an escalation point for offshore compliance teams
Create, maintain, and enhance operational procedures and documentation
Qualification
Required
Bachelor's degree in finance, business, computer science, or a related field (required)
1-3 years of experience in compliance, operational risk, or business controls within a financial services environment
Strong organizational skills with the ability to prioritize tasks
Ability to collaborate cross-functionally across teams
Strong attention to detail and interest in technology to improve processes
Excellent analytical and problem-solving skills
Excellent written and verbal communication skills
Preferred
Previous experience with business intelligence and automation tools (e.g., Power BI, Power Automate, Alteryx, GenAI) is a plus
Company
Daley And Associates, LLC
Daley and Associates is a boutique executive search and contract staffing firm specializing in the placement of Accounting, Finance, Information Technology, Legal, Administrative and Life Sciences professionals.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Christyn Thatcher
CFO/COO
Hank Phillips
Principal & COO
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