Compliance Analyst, Trading Systems

About the role

Weiss Asset Management (WAM), a Boston-based investment firm, is seeking an Investment Compliance Analyst to join our Compliance team. This role sits at the intersection of investment compliance, trading, and data, with responsibility for monitoring trade activity, resolving compliance exceptions, and improving the systems and processes that support ongoing compliance monitoring.

Candidates graduating in Summer 2027, as well as those with 1-3 years of relevant professional experience, are encouraged to apply. Working proficiency in SQL is required; experience with Python, automation, AI tools, or order management systems is a plus. This is a full-time, in-office role based in Boston.

Responsibilities

• Monitor and resolve pre- and post-trade compliance alerts across funds and strategies, using data to spot exceptions and patterns and escalating issues with traders and internal teams as needed.
• Interpret, maintain, and test trading compliance rules in the firm's order management system (OMS), and support investment-related compliance questions.
• Analyze trade, position, and compliance data in SQL to support recurring reviews, reconciliations, and investigations.
• Automate manual tasks with code and AI tools, building solutions that make compliance monitoring more efficient and repeatable.
• Design systematic, scalable workflows for compliance reviews and escalations.
• Maintain restricted securities and issuer lists across firm systems and support wall-crossing and MNPI processes.
• Track regulatory developments and assess their impact on trading activity, compliance rules, policies, and procedures.
• Support regulatory filings, audits, system upgrades, and ad-hoc compliance projects.

Base Salary

$85,000-$125,000 per year, depending on experience. Actual compensation will reflect the candidate's skills, relevant experience, and overall fit for the role. It is unlikely that all new hires will start at the top of this range.

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 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.