Compliance Analyst

Eventide Asset Management; Boston (MA); On-site; USD 85,000 - 110,000; Full time

Benefits offered by this job

Discretionary bonuses

Job summary

Eventide Asset Management is seeking a detail-oriented Compliance Analyst in Boston to implement and test our compliance program. You will work with the Compliance Director and team on automation, policy updates, and regulatory filings.

Responsibilities include testing controls, monitoring personal trading, proxy voting oversight, and reviews of marketing materials. Requires a bachelor’s degree and 2+ years in compliance or investment operations, with strong MS Office and Adobe skills.

Qualifications

• Bachelor’s degree required
• 2+ years in compliance or investment operations preferred
• Attention to detail with focus on process improvements
• Strong written and verbal communication
• Experience supporting mutual funds, ETFs, private funds, and separately managed accounts
• Proficient in MS Office and Adobe tools

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
• 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

Skills

2+ years in compliance or investment\n

Attention to detail

Written and oral communication

Independent work and time management

Client-facing experience (mutual funds

Education

Bachelor’s degree

Tools

MS Office

Adobe tools

Job description

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, Barr’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
• 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.