Transaction Compliance Associate

Boston, MA

Posted: 08/05/2019 Employment Type: Permanent Specialty: Accounting & Finance Job Number: 174920 Pay Rate: $60,000 - $65,000

Do you have strong data entry and analytical skills? Are you looking to expand your professional experience? A financial services organization seeks a talented and motivated Transaction Compliance Associate to join their bright and passionate team! This is an exciting and new opportunity for a self-proclaimed go-getter looking for an innovative environment.

  • Establish a thorough understanding of client investment policy statements 
  • Create and maintain appropriate Excel models to monitor portfolio compliance both pre-and post-trade
  • Ensure all transaction-based compliance issues are properly investigated, documented, and incorporated into monthly reports
  • Assist the Transaction Compliance Manager in proposing policy amendments to address identified risks and/or inefficiencies
  • Work with other departments to timely complete various regulatory filings
  • Serve as a policy resource to members of the investment, legal, management and operational teams
  • Assist in the vendor due diligence oversight process
  • Stay abreast of industry trends through personal research, networking, and conference attendance
  • Provide coverage for absent Trade Compliance team members
  • Perform ad hoc requests 

  • 1 to 3 years of relevant work experience within the financial services industry
  • Bachelor’ s degree in business, finance, or related field with a record of high academic achievement
  • Advanced proficiency in Microsoft Excel
  • Strong verbal and written communication skills
  • Familiarity with the major asset classes and their role in an investment portfolio
  • Ability to multi-task, take initiative, work independently, and use creative problem-solving skills
  • Enthusiastic, dynamic, organized, analytical and collaborative

Nice to Haves:
  • Experience in an investment compliance or audit environment
  • Prior Experience with Charles River, Bloomberg AIM, or Eze Castle compliance software

Job ID: 174920

Please note, our client is only considering local candidates currently. Thank you!

If you are already working with a WinterWyman recruiter, please contact them directly; otherwise, please send your resume and contact information to 

WinterWyman Finance and Administrative

With nearly 15 recruiters and staffing professionals specializing in contract, temp-to-perm and permanent HR roles in the Boston and New England areas, WinterWyman takes a consultative approach when recruiting for a full spectrum of Human Resources professionals from entry to senior level, including Recruiters, HR Administrators & Coordinators, Compensation and Benefits professionals, HRIS Administrators and Analysts, HR Generalists and HR Directors / Managers / Business Partners. While the majority of our positions are on a contract basis, we also work on many temp-to-perm and permanent positions. We take the time to assess fit before presenting any candidate with a role, and we thoroughly prepare you with tools, company information and pointers to help ensure success during the interview and beyond. Let us help you find your next opportunity.

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