Senior Compliance Associate

Reporting to the Compliance Director, the Sr. Compliance Associate is responsible for assisting in the implementation of the firm’s investment compliance program. This role will focus on the oversight and maintenance of the compliance system for monitoring client investment guidelines and restrictions. The successful candidate will coordinate with investment teams and 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, trading and operations to provide insight and perspective on investment compliance related matters.
• Oversee the review, identification, and research of compliance exceptions. Escalate exceptions as necessary to senior management. Provide written compliance reports as required.
• Assist in the implementation, updating and maintenance of 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.
• Review business requirements for restrictions and reporting for compliance monitoring to ensure items accurately reflect the interpretation of applicable requirements.
• Identify compliance restrictions from governing documents for new accounts and amendments and code those restrictions into the compliance system. 
• Ensure timely and accurate implementation of applicable investment guideline updates.
• Take ownership of investment compliance program work (reviewing regulatory requirements, governing documents, compliance system coding/testing, updating documentation, etc.)
• 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 five (5) years of related experience in investment compliance monitoring.
• Strong knowledge of trade order management and compliance systems (CRD preferred).
• Experience coding investment guidelines and restrictions in compliance systems (CRD preferred).
• Familiarity with using Bloomberg, SQL, Tableau, etc. to retrieve and analyze data.
• 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 170 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