Trade Compliance Associate
Weiss Asset ManagementBoston, Massachusetts, United States
Posted October 10, 2025
Full Time
About the Company
Weiss Asset Management is a leading investment firm with over 30 years of experience, managing $3.8 billion across hedge funds and institutional accounts. We specialize in proprietary value-based strategies that deliver high risk-adjusted returns through deep fundamental research, statistical analysis, and an analytically rigorous approach. Our company culture emphasizes integrity, rationality, creativity, and continuous learning, fostering a collaborative environment where exceptional talent from diverse backgrounds can thrive.
Job Description
Weiss Asset Management (WAM) is seeking a Trade Compliance Associate to join their Compliance team. The role involves managing and resolving compliance exceptions, providing guidance on new investments, and monitoring regulatory developments globally. This position requires strong analytical and communication skills and the ability to work effectively in a fast-paced environment.
Requirements
- Manage and resolve OMS compliance exception alerts (pre- and post-trade)
- Provide compliance oversight and guidance on new and existing investments
- Monitor regulatory developments globally and update compliance policies
- Interpret and implement investment guidelines and regulatory requirements
- Maintain restricted securities and issuer lists
- Lead wall-crossing processes, including tracking restricted individuals
- Support ad-hoc compliance projects
- Proficiency in Excel and Word; SQL a plus
