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Trade Compliance Specialist
NPAworldwide Recruitment Network
NPAworldwide Recruitment Network
How to Apply:

Job Location: Boston, MA

Job #: 27741
Title: Trade Compliance Specialist
Job Location: Boston, Massachusetts - United States
Employment Type:
Salary: contact recruiter for details
Other Compensation: 5% Bonus
Employer Will Recruit From: Regional
Relocation Paid?: NO


Trade Compliance Specialist

Our client is a global investment management firm that focuses on equity investments through a variety of investment strategies and structures. The firm is based in Boston and manages hundreds of portfolios. The members of the trade compliance team support the trading operations of the firm and have extensive interactions with the portfolio management and investment services teams on existing trading activity. The group also supports the launch of new investment initiatives for the firms global equity and derivative trading strategies and is exposed to developed, emerging and frontier markets.

Great opportunity for somebody interest in asset management and wants to continue their development within this industry.


Trade Compliance Specialist

Evaluate proposed equity, futures and foreign exchange trades for compliance with applicable investment guidelines and restrictions, as well as applicable regulations.

Play an integral role in accommodating investment initiatives and regulatory changes by developing, testing and implementing automated solutions to address new operational requirements.

Analyze client guidelines and restrictions in support of new portfolio management initiatives.

Partner with our portfolio management, investment services, client relationship team and legal teams to research compliance-related client inquiries and facilitate contract amendments.

Participate in investment portfolio optimization and re-balance sessions.

Contribute to ongoing efforts to further automate existing pre-trade and post-trade workflows by suggesting, testing and implementing system enhancements.

Be responsible for maintaining client guidelines and restrictions within the compliance system.

Analyze and help resolve portfolio compliance alerts and warning reports.


Trade Compliance Specialist

3 plus years of experience in the asset management industry in a trading operations and/or compliance role is required

Experience with compliance management systems and/or order management systems is necessary; the role involves finding ways to better leverage technology

Working knowledge of equity instruments and derivative instruments such as futures contracts and FX forward contracts is required

the role requires an ability to perform daily activities concurrent with involvement in project oriented initiatives as well as a willingness to work evening trading sessions when necessary

Superior work ethic, analytical skills, organizational skills, communication skills and attention to detail

University - Bachelor`s Degree/3-4 Year Degree

How to Apply:

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