Weiss Asset Management (WAM) is seeking to solve trade compliance issues across multiple asset classes and global regulations
Requirements
- 2–5 years of investment compliance experience required
- Experience with Charles River, FlexTrade FlexOne, or similar OMS/OEMS preferred
- Must be proficient in Excel and Word
- SQL a plus
Responsibilities
- Manage and resolve OMS compliance exception alerts (pre- and post-trade) in coordination with the trading team
- Provide compliance oversight and guidance on new and existing investments, addressing trade-related inquiries across asset classes and jurisdictions
- Monitor regulatory developments globally, assess impact, and update compliance policies and procedures accordingly
- Interpret and implement investment guidelines and regulatory requirements within the OMS across funds and strategies
- Maintain restricted securities and issuer lists, ensuring accuracy and integration into investment workflows
- Lead wall-crossing processes, including tracking restricted individuals and managing MNPI appropriately
- Support ad-hoc compliance projects, including audits, regulatory reviews, and system enhancements
Other
- 2–5 years of investment compliance experience required
- Strong communication skills
- Ability to prioritize under pressure while collaborating effectively with the trading, operations, and compliance teams
- Degree requirements not specified, but a background in a related field may be preferred
- Full-time in Boston office, 5 days a week
