Compliance Analyst

Eventide; Boston (MA); Sur place; USD 85 000 - 110 000; Plein temps

Résumé du poste

Eventide, a Boston-based asset management firm, seeks a detail-oriented Compliance Analyst to support the Compliance team in implementing, testing and continual improvement of Eventide's compliance program. The role reports to the Investment Compliance Director and works with three colleagues and the Chief Compliance Officer.

Responsibilities include evaluating automation opportunities, testing controls, updating policies, monitoring personal trading, and assisting with regulatory filings,

Qualifications

• Minimum of a bachelor’s degree.
• 2+ years in compliance or investment operations for an investment adviser or related service provider.
• Excellent attention to detail with a focus on continual process improvements.
• Excellent written and oral communication skills.
• Experience supporting a variety of client types including mutual funds, ETFs, private funds, and separately managed accounts.

Responsabilités

• Evaluate and support opportunities for automation, AI, and other process improvements to optimize oversight.
• Perform testing procedures for compliance program controls to evaluate policy effectiveness.
• Recommend updates to policies, procedures and processes.
• Monitor personal trading, assist with compliance reviews, and elevate issues as needed.
• Support preparation of regulatory filings and board reporting.
• Formalize processes for records storage and retrieval.
• Assist with testing and oversight of proxy voting processes.
• Support vendor oversight and other compliance oversight functions.
• Research, document codes of ethics and policies across peers to meet regulatory requirements.

Connaissances

Attention to detail

Communication skills

Self-starter

Independence

Process improvement

Formation

Bachelor's degree

Outils

Microsoft Office

Adobe tools

Description du poste

Eventide is a pioneering asset management firm that seeks to put capital to work in businesses that advance the global common good and help change the world. Founded in 2008, Eventide has soon become one of the leaders in faith-based investing through a biblical worldview. Our principled investment framework has been recognized by the Wall Street Journal, Barron's, Investment News, Fast Company, Entrepreneur, among others.

Our best-in-class culture has been awarded multiple Best Places to Work awards from the Boston Globe, Boston Business Journal and Pension and Investments. Eventide employees work hard for the sake of others-our clients, our colleagues, and our world. Our mission is to honor God and serve our clients through investments that make the world rejoice.

Eventide is seeking to hire a detail-oriented Compliance Analyst to support the Compliance team in implementing, testing and continual improvement of Eventide's compliance program. The position will report directly to Eventide's Investment Compliance Director and work closely alongside three additional members of the Compliance Team and the Chief Compliance Officer. The Compliance Analyst will enjoy an excellent opportunity to work with experienced Compliance Team members and gain knowledge across a wide range of topics.

Duties and Responsibilities

• Evaluate and support opportunities for automation, AI, and other process improvements to help optimize the firm's oversight of business, compliance, legal, and risk information
• Perform testing procedures for a wide range of compliance program controls to support the evaluation of the effectiveness of firm's policies and procedures
• Recommend updates to policies, procedures and processes
• Monitor personal trading, assist with new hire and quarterly compliance certification reviews and other compliance oversight functions, and elevate issues appropriately
• Support preparation of regulatory filings and board reporting
• Formalize processes and procedures including for records storage and retrieval
• Support Eventide's vendor oversight process
• Assist with testing and oversight of Eventide's proxy voting process
• Support oversight of portfolio management team's expert network usage
• Support Marketing materials review (e.g. Fact sheets, commentaries, website pages, sales presentations)
• Support claims recovery process for Eventide's products
• Research, evaluate and document codes of ethics and other policies and procedures across industry peers to address regulatory requirements and industry best practices
• Update and monitor the firm's compliance calendar
• Perform data assessment, organization, forensic testing, and risk reviews

Qualifications

• Minimum of a bachelor's degree
• 2+ years in compliance or investment operations for an investment adviser or related service provider
• Excellent attention to detail with a focus on continual process improvements
• Excellent written and oral communication skills
• Experience supporting a variety of client types including mutual funds, ETFs, private funds, and separately managed accounts
• Excellent skills in core business applications within Microsoft Office and Adobe tools
• Intellectually curious, self-starter motivated to join Eventide's mission to help improve society and the world through values-based investments
• Ability to work well independently, prioritize, and manage time effectively in a fast-paced and dynamic environment
• Passion for and commitment to Eventide's mission and investment philosophy; experience in values-based investments or organizations preferred
• Demonstration of the core values of Eventide in execution of duties and decision-making
• Ability to work within compliance of Eventide's Code of Ethics

NOTE: This job description is not intended to be all-inclusive. Employee may perform other related duties as negotiated to meet the ongoing needs of the organization.

Department: Compliance

FLSA Status: Exempt

Position reports to: Investment Compliance Director

Position supervises: No one

Compensation Range: The pay range for this position is $85,000 to $110,000 annually. This range represents the base salary the company reasonably expects to pay for this role, depending on factors such as skills, experience, and qualifications. This position is also eligible for generous discretionary bonuses and other forms of compensation. Actual compensation paid may vary based on geographical location and other business considerations.