Compliance Associate

Reporting to the Compliance Director, the Compliance Associate is responsible for assisting in the implementation of the firm’s investment compliance program. This role will focus on the daily oversight and maintenance of the compliance system to monitor client investment guidelines and restrictions. The successful candidate will coordinate with Portfolio Management, Operations, Legal and Technology personnel to communicate and resolve investment guideline compliance issues.

The individual will have a strong work ethic and high ethical standards. The ideal candidate should be able to work both independently and be engaged and supportive in a team environment. 

This is a hybrid work environment opportunity located in Boston, Massachusetts with a weekly in office schedule of Tuesdays, Wednesdays and Thursdays and remote work on Mondays and Fridays.

Key Responsibilities:

• Perform daily investment compliance monitoring on a pre trade and post trade basis for registered funds, pooled investment vehicles and separately managed accounts.
• Collaborate with Portfolio Management, Operations, and Technology to provide insight and perspective on investment compliance related matters.
• Identify, review and research compliance exceptions, and escalate exceptions as necessary. 
• Assist in implementing, updating, and maintaining the compliance system to monitor client investment guidelines and restrictions. Ensure proper restriction coding in the order management system and conduct testing on new and existing investment restrictions.
• Identify compliance restrictions from governing documents for new accounts and amendments. Code restrictions into the compliance system and update internal documentation. 
• Ensure timely and accurate implementation of applicable investment guideline updates.
• Identify opportunities to improve compliance workflows through technology-driven solutions. When needed, collaborate with Technology to effectively communicate requirements from business perspective.

Skills You Bring:

• Bachelor’s Degree and a minimum of three (3) years of related experience in investment compliance monitoring.
• Experience with trade order management and compliance systems (CRD preferred), including coding investment guidelines and restrictions.
• Experience with reviewing client documentation, including prospectuses and investment guidelines.
• Ability to understand complex issues and regulatory requirements and provide clear and concise explanations in written and verbal communications, for senior members of the firm and external clients.
• Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk, including ability to effectively prioritize tasks.
• Strong organizational, analytical and project management skills.
• Effective verbal, written and personal communication skills.
• Collaborates in a fully inclusive manner.

Company Overview

Founded in 2001, Geode is headquartered in Boston’s financial district, the center of one of the world’s most vibrant finance and technology hubs and employs approximately 180 employees.

Geode is an institutional asset manager providing core beta exposures across a range of equity and niche asset classes, with over $1 trillion in AUM. With a robust infrastructure and experienced investment professionals, Geode offers the scale of a large asset management firm with the benefits of a smaller organization.

Geode is proud to be an equal opportunity employer and support a diversified work environment. Learn more about Geode at www.geodecapital.com/careers