Compliance Associate

Reporting to the Director, Investment Compliance, the Compliance Associate is responsible for assisting in the monitoring 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, Legal and Technology personnel to communicate and resolve investment 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, MA with a weekly in-office schedule of Tuesdays, Wednesdays and Thursdays and remote work availability on Mondays and Fridays.

• Perform daily investment compliance monitoring on a pre trade and post trade basis for registered funds, pooled investment vehicles and separately managed accounts. Identify exceptions and escalate any potential issues.
• Research pre trade or post trade investment compliance matters and collaborate with appropriate stakeholders (e.g., Portfolio Management, Trade Operations, or Data Operations) to resolve as needed.
• Perform daily review of global shareholder thresholds, including validating results and researching reporting requirements. Escalate any potential reporting requirements.
• Assist with preparing global shareholder ownership filings for submission to applicable regulatory authorities as needed.
• Assist in the implementation 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.
• Identify compliance restrictions from governing documents for new accounts and amendments to existing accounts. Code restrictions into the compliance system, as needed.
• Identify opportunities to improve compliance workflows through technology-driven solutions. When needed, collaborate with Technology to effectively communicate requirements from business perspective.

• Bachelor’s Degree and a minimum of three (3) 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).
• Understanding of global shareholder disclosure (GSD) regulations across multiple jurisdictions, with experience in compliance processes. Familiarity with global share disclosure platforms such as CRD’s GSD portal or Fund Apps is highly desirable.
• Familiarity with using financial software to retrieve and analyze data (e.g., Bloomberg).
• 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.

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 200 employees.

Geode is an institutional asset manager providing core beta exposures across a range of equity and niche asset classes, with over $1.5 trillion. 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.

Our compensation philosophy is designed to attract, motivate, and retain top talent. We are committed to ensuring that compensation reflects the value our employees bring to Geode. Employees at all levels are eligible to receive a combination of base salary, variable compensation, and a…