Trade Compliance Associate at Weiss Asset Management

Boston, Massachusetts, United States

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Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Investment Management, FinanceIndustries

Requirements

3–5 years of investment compliance experience
Experience with Charles River, FlexTrade FlexOne, or similar OMS/OEMS (preferred)
Proficient in Excel and Word; SQL a plus
Detail-oriented, analytical, with sound judgement
Strong communication skills and ability to prioritize under pressure
Comfortable working across multiple asset classes and global regulations
Ability to collaborate effectively with trading, operations, and compliance teams
Values teamwork, adapts quickly, and performs well in a fast-paced environment requiring precision and practical judgment
Full-time in Boston office, 5 days per week

Responsibilities

Manage and resolve OMS compliance exception alerts (pre- and post-trade) in coordination with the trading team
Provide compliance oversight and guidance on new and existing investments, addressing trade-related inquiries across asset classes and jurisdictions
Monitor regulatory developments globally, assess impact, and update compliance policies and procedures accordingly
Interpret and implement investment guidelines and regulatory requirements within the OMS across funds and strategies
Maintain restricted securities and issuer lists, ensuring accuracy and integration into investment workflows
Lead wall-crossing processes, including tracking restricted individuals and managing MNPI appropriately
Support ad-hoc compliance projects, including audits, regulatory reviews, and system enhancements

Skills

Key technologies and capabilities for this role

ExcelWordSQLCharles RiverFlexTrade FlexOneOMSOEMS

Questions & Answers

Common questions about this position

Is this role remote or office-based?

This is a full-time role in the Boston office, requiring 5 days per week on-site.

What experience and skills are required for the Trade Compliance Associate position?

Candidates need 3–5 years of investment compliance experience, proficiency in Excel and Word (SQL a plus), and experience with Charles River, FlexTrade FlexOne, or similar OMS/OEMS preferred. Strong communication skills, sound judgement, and the ability to prioritize under pressure are also essential.

What is the company culture like at Weiss Asset Management?

WAM fosters a collaborative environment with diverse teams, a flat structure where talent and work ethic drive advancement, and values integrity, rationality, creativity, entrepreneurship, and continuous learning.

What makes a strong candidate for this role?

Ideal candidates are detail-oriented, analytical, adaptable in a fast-paced environment, with sound judgement, strong communication skills, and the ability to collaborate across trading, operations, and compliance teams.

What is the salary or compensation for this position?

This information is not specified in the job description.

Weiss Asset Management

Value-based investment management services

About Weiss Asset Management

Weiss Asset Management focuses on creating investment strategies that aim to provide strong returns while managing risk. The company uses a combination of in-depth research, statistical analysis, and careful decision-making to find undervalued assets that can yield high returns. Unlike many competitors, Weiss emphasizes a collaborative approach and values integrity, creativity, and continuous improvement in its operations. The goal of Weiss Asset Management is to deliver high risk-adjusted returns to a diverse group of investors, including charitable foundations and pension plans, while fostering a culture of excellence within its team.

Boston, MassachusettsHeadquarters

1991Year Founded

VENTURE_UNKNOWNCompany Stage

Quantitative Finance, Financial ServicesIndustries

51-200Employees

Risks

Competition from algorithmic trading firms using advanced AI models is increasing.

Potential tech sector overvaluation could impact investments in Amazon and Infosys.

Rising interest rates may affect valuations of financial institutions like Northern Trust.

Differentiation

Weiss Asset Management uses proprietary value-based investment strategies for high risk-adjusted returns.

The firm emphasizes deep fundamental research and statistical analysis in decision-making.

Weiss values integrity, rationality, creativity, and continuous learning in its investment approach.

Upsides

Increased interest in ESG investing boosts demand for Weiss's value-based strategies.

AI-driven analytics enhance Weiss's ability to identify undervalued assets efficiently.

Growing retail investor participation creates opportunities for tailored investment products.

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