Compliance Associate

Geode Capital Management is a global systematic investment manager. With a robust infrastructure and talented investment professionals, Geode offers clients the scale of a large asset management firm, with benefits of a versatile platform - flexibility and customization. Our firm is able to offer institutional investors the essential building blocks for today's changing investment landscape. The talent we hire at Geode today helps us shape the future of investment management tomorrow, while allowing individuals to thrive and grow in a positive dynamic environment. Geode seeks to enhance the employee experience with a culture of engagement, wellness, and inclusion. Our headquarters are located in Boston’s financial district, the center of one of the world’s most vibrant finance and technology hubs. Workplace Inclusion Statement Geode recognizes the value that employees' individual differences can bring to the workplace. These differences may include attributes such as gender, race, ethnicity, sexual orientation or age, and may also include differences in styles of work, communications or thinking. The firm endeavors to create an inclusive work environment: That supports the firm’s beliefs, values and business objectives That fully leverages all employees' contributions to Geode's success Where employees are treated with dignity and respect That challenges employees to grow and develop professionally That fosters innovation and creativity That encourages employees to demonstrate initiative, individual responsibility and teamwork to achieve business goals Partnerships Geode supports inclusivity and gender equality through various corporate partnerships. In addition, Geode supports many other organizations that coincide with our mission to enhance our community. EMPLOYEE CONNECTION THROUGH EMPLOYEE RESOURCE GROUPS Our people are our greatest asset. As a firm, we all come together daily for a morning meeting where we review market highlights and share any firm updates or announcements. Our Employee Resource Groups provide opportunities for our employees to connect internally and externally, create informal mentoring relationships and strengthen their leadership skills. The Geode Women's Exchange Network (WE!) The Geode Women’s Exchange’s mission is to motivate, challenge, encourage and support Geode's employees with a focus on Geode's female representation. WE! is designed to help female professionals both personally and professionally, as well as be a resource to others at the firm and to give back to those less fortunate outside of the firm. Geode Diversity and Inclusion (GDI) GDI encourages a positive work environment by actively contributing to Geode’s mission and values and promoting diversity and inclusion. GDI helps to further enhance the Geode community and focuses on efforts such as internal and external awareness building, community engagement and professional development. Geode EVOLVE - Employee Experience Working Team EVOLVE's mission is to establish firm initiatives around culture, value and purpose to shape the future of work and create initiatives that make Geode a great place to work. Geode Capital Management provides a generous and comprehensive benefit package. In addition to our Medical, Dental, and Vision Insurance plans, we offer: 401K Matching and Annual Profit Sharing Contributions $2,500 annual charitable match Health Savings Accounts Medical and Dependent Care Flexible Spending Accounts Tuition Reimbursement / CFA and Certificate Reimbursements Student Debt Employer Contributions Health & Fitness Reimbursement Employee Referral Bonus Program Generous Time off package that includes PTO and Volunteer Time Off Paid Family and Parental Leaves Adoption and Surrogacy Assistance Supplemental Benefits including Voluntary Life, AD&D, STD and LTD Commuter Benefits including 50% share of transit expense Employee discount programs Volunteer opportunities and employee events Family care assistance Hybrid working arrangements Position Compliance Associate Location Boston, MA Job Id: 430 # of Openings: 1 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. 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. 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. Skills You Bring 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 FundApps 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. 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 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 comprehensive benefits package. Compensation decisions are informed by a range of factors including role, experience, education, and skillset. Our benefits program is designed to support employees both professionally and personally, offering comprehensive health coverage, 401(k) matching, annual profit sharing, paid family leave, and generous time off. We also provide tuition and certification reimbursement, student loan support, fitness and commuter reimbursements, charitable donation matching, family care assistance, and adoption and surrogacy support. Hybrid work arrangements and a culture that encourages community engagement through volunteer opportunities and employee events further enhance the employee experience at Geode. Geode is proud to be an equal opportunity employer and support a diversified work environment. Learn more about Geode at Geode is proud to be an equal opportunity employer and we recognize the value that employees' individual differences can bring to the workplace. #J-18808-Ljbffr