Compliance Analyst, Trading Systems

The role

This person will monitor trade activity, resolve compliance exceptions, and improve systems and processes. The role sits at the intersection of investment compliance, trading, and data.

What you will do

• Monitor and resolve pre- and post-trade compliance alerts across funds and strategies.
• Interpret, maintain, and test trading compliance rules in the firm's order management system.
• Support investment-related compliance questions.
• Analyze trade, position, and compliance data in SQL to support reviews, reconciliations, and investigations.
• Automate manual tasks with code and AI tools.
• Design systematic, scalable workflows for compliance reviews and escalations.
• Maintain restricted securities and issuer lists across firm systems.
• Support wall-crossing and MNPI processes.
• Track regulatory developments and assess impact on trading activity, rules, policies, and procedures.
• Support regulatory filings, audits, system upgrades, and ad-hoc compliance projects.

Required qualifications

• Candidates graduating in Summer 2027 or those with 1-3 years of relevant professional experience.
• Working proficiency in SQL.

Nice to have

• experience with Python
• automation
• AI tools
• order management systems

About the company

Weiss Asset Management (WAM) is a Boston-based investment firm that manages approximately $4.5 billion across hedge fund clients. The firm uses proprietary investment strategies and values integrity, rationality, creativity, and entrepreneurship.