Compliance Analyst

Geode Capital Management, LLC is looking for a Compliance Associate to be responsible for assisting with the execution of Geode’s compliance program (Rule 206(4)-7) and will be involved in the surveillance and execution of such reviews, as well as evaluating the effectiveness of the compliance program.  

Responsibilities: 

  • This position focuses on several vital areas of the program, including Investment Compliance, Firm Oversight and Ethics. 
  • Compliance Associate assists with Geode’s Risk Assessment process
  • The Compliance Associate will prioritize compliance issues, and will attempt to solve issues with minimal supervision. The Associate will be tasked with making independent decisions based on facts and interpretation.  Areas of focus may include:
    • Investment Compliance
      • Trade Oversight
      • Exchange Thresholds
      • Position Limits
    • Firm Oversight
      • Policies and procedures
      • Email review
      • Regulatory filings
    • Ethics
      • Personal trading
      • Outside business activities
      • Certifications

Qualifications: 

  • Minimum of 2+ years of compliance, risk management, regulatory or operational experience with a mutual fund complex or investment advisory firm
  • Bachelor’s degree preferably in:  Accounting, Business or Finance
  • Sound knowledge of investment management and mutual fund industry as well as securities markets
  • Excellent interpersonal skills and a team player
  • Strong analytics and critical thinking
  • Ability to problem-solve
  • Excellent time management skills
  • Strong written and verbal communication skills

To apply for this position please click on the “Apply Now” button below or send an email containing cover letter and resume to careers@geodecapital.com. Please include Compliance Analyst in the subject line.

Apply Now

Due to the high volume of resumes and inquiries received, we are unable to accept telephone calls regarding available opportunities and will only contact those candidates being invited to interview.