Investment Compliance Associate

Weiss Asset Management (WAM), a Boston-based investment firm, is seeking an Investment Compliance Associate who will join our global compliance and operations team to maintain proper practices the firm, and to act as a detective in investigating and solving compliance issues. A successful candidate will place a strong value on teamwork, will effectively prioritize responsibilities, and will bring a meticulous attention to detail. This person can expect to evaluate situations to quickly calculate cost benefit analyses in order to properly prioritize projects under time pressure, while gaining exposure to multiple markets and asset classes. The ideal candidate will have 3-5 years of experience in investment compliance, preferably at a hedge fund or other buy-side financial firm. Previous experience experience at an SEC-registered investment adviser with Code of Ethics compliance, Fundapps and CFTC regulations is a plus. Additionally, strong candidates must have experience working with Charles River, FlexTrade FlexOne, Blackrock Aladdin, or an equivalent OMS/OEMS system, and contain a strong understanding of how these systems work. Candidates should also possess a strong knowledge of fixed income securities, equities, complex securities, and derivatives. 

Responsibilities:

 A successful Compliance Associate will have an opportunity to participate in all aspects of compliance functions:

• Monitoring needs for disclosures in over 40 countries where WAM trades for its clients
• Reviewing requests from traders and analysts on a variety of business functions
• Educating investment professionals about public and private disclosures that need to be made in each market
• Investigating trade entry and various records to identify inappropriate activity, trade errors and violations

About the Company:

For over 30 years, Weiss Asset Management has developed proprietary value-based investment strategies designed to deliver high risk-adjusted returns to our investors, who include charitable foundations, pension plans, endowments, hospitals, government entities and private investors. We manage approximately $3 billion across hedge funds and institutional accounts.  We work collaboratively to solve problems, and to identify undervalued assets through deep fundamental research, statistical analysis and an analytically rigorous approach to decision making. Above all else, we value integrity, uncompromising rationality, creativity and entrepreneurship, and continuous learning and improvement.

Our team of over 100 individuals is the engine of our success and we welcome truly exceptional candidates from all backgrounds.

WAM is a fit for you if:

• You enjoy a collaborative environment, where decisions are made in diverse teams. At WAM, all employees can expect to work directly with members of other departments representing a range of backgrounds.
• You work well in a flat structure and are comfortable voicing dissenting opinion. Talent and work ethic will dictate what you can achieve at WAM, as evidenced by the fact that our co-president and the majority of our managing directors began their careers here as interns.
• You are driven to constantly learn, improve, and make rational decisions based in fact and data, and you welcome receiving feedback as well as sharing knowledge with others.
• You prioritize acting ethically in all situations.

WAM is an equal opportunity employer. Women, minorities, people with disabilities, and veterans are encouraged to apply.