Compliance Associate in Boston, Massachusetts For Sale
A member of the Compliance Team is responsible for applying, monitoring and enforcing the compliance rules and guidelines of the company and its clients. This Boston, Massachusetts role will require the performance and oversight of daily data integrity checks to ensure that accounting and trading records are accurate. Responsibilities: * Ensure that all portfolio holdings and expected trades meet compliance guidelines and restrictions as instructed by the client * Monitor all portfolio activity, including tying out all corporate actions and trades that are processed in the accounts * Oversee and manage back-office trade operations, brokers and custodians and industry professionals * Prepare and analyze daily good to sell files from custodians * Review and audit the daily portfolio compliance alerts and warning reports received from the order management system * Assist in management requested ad hoc financial reporting and other project work, including projects related to investment activity of the portfolio * Assist in the resolution of compliance related client inquiries * Analyze and scrub all accounting data that is imported into the company's trading platform * Identify and propose solutions related to new operational requirements
Real Estate in Massachusetts for sale
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