Trade Compliance Associate

Weiss Asset Management (WAM), a Boston-based investment firm, is seeking a Trade Compliance Associate to join our Compliance team. The ideal candidate is detail-orientated, analytical, and comfortable working across multiple asset classes and global regulations. They should bring sound judgement, strong communication skills, and the ability to prioritize under pressure while collaborating effectively with the trading, operations, and compliance teams. This role is a fit for someone who values teamwork, adapts quickly, and performs well in a fast-paced environment requiring both precision and practical judgment.

2–5 years of investment compliance experience required. Experience with Charles River, FlexTrade FlexOne, or similar OMS/OEMS preferred. Must be proficient in Excel and Word; SQL a plus. This role is full-time in our 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.

Base Salary: $100k-$145k per year, depending on experience. Actual offer will reflect your specific skills, years of relevant experience, and fit for the role. It is unlikely that all new hires will start at the top of this range.

About the Company:

For over 30 years, Weiss Asset Management has developed proprietary value-based investment strategies designed to deliver high risk-adjusted returns to our investors, who include charitable foundations, pension plans, endowments, hospitals, government entities and private investors. We manage approximately $4 billion across hedge funds and institutional accounts. We work collaboratively to solve problems, and to identify undervalued assets through deep fundamental research, statistical analysis and an analytically rigorous approach to decision making. Above all else, we value integrity, uncompromising rationality, creativity and entrepreneurship, and continuous learning and improvement.

Our team of over 120 individuals is the engine of our success, and we welcome truly exceptional candidates from all backgrounds.

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 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.

WAM is an equal opportunity employer. Women, minorities, people with disabilities, and veterans are encouraged to apply.