Geode Capital Management · 1 week ago
Compliance Associate
Boston, MA
Full-time
Hybrid
Mid Level
$70K/yr - $85K/yr
3+ years expGeode Capital Management is an institutional asset manager located in Boston, MA, seeking a Compliance Associate to assist in monitoring the firm's investment compliance program. The role involves overseeing compliance systems, resolving investment compliance issues, and collaborating with various teams to ensure adherence to client investment guidelines and restrictions.
Asset ManagementFinanceFinancial Services
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
Qualification
Required
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
Experience coding investment guidelines and restrictions in compliance systems
Understanding of global shareholder disclosure (GSD) regulations across multiple jurisdictions, with experience in compliance processes
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
Preferred
CRD preferred
Familiarity with global share disclosure platforms such as CRD's GSD portal or FundApps is highly desirable
Benefits
Comprehensive health coverage
401(k) matching
Annual profit sharing
Paid family leave
Generous time off
Tuition and certification reimbursement
Student loan support
Fitness and commuter reimbursements
Charitable donation matching
Family care assistance
Adoption and surrogacy support
Hybrid work arrangements
Community engagement through volunteer opportunities
Employee events
Company
Geode Capital Management
Geode Capital Management is an investment management company providing systematic investment solutions.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$2.94M2023-04-11Series Unknown· $2.94M
Leadership Team
Sorin Codreanu
Chief Financial Officer
Lorrie Butler
Executive Assistant To Chief Financial Officer
Recent News
2025-10-11
MarketBeat
2025-10-03
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