Compliance Manager - Investment Management

San Francisco, CA 94021

Posted: 09/11/2024 Job Category: Financial Job Number: 2768

Job Description

Compliance Manager
Industry: Legal/Finance
Status: Full-Time
Location: San Francisco, CA (Hybrid, 3 days on-site)

THE ROLE YOU WILL PLAY
  • Manage portfolio compliance using Charles River for mutual funds and managed accounts, including rule setup, monitoring, and escalation.
  • Produce monthly portfolio reports, update securities records, and maintain approved/restricted lists.
  • Ensure Code of Ethics compliance using ComplySci, including managing personal trading, certifications, and documentation.
  • Compile data for regulatory updates, manage class action filings, and assist with insurance policy renewals.
  • Conduct monthly ESG screenings and analyze soft dollar trading reports for board meetings.
  • Lead technology projects to improve compliance processes and system efficiency.
COMPANY PROFILE AND BENEFITS
  • Located in San Francisco’s Financial District, the firm is committed to responsible investing and strong ethics
  • Competitive pay, annual bonuses, full medical, dental, and vision coverage for you and your family, plus a 2:1 charitable contribution match.
  • In-office presence required three days a week with a commuter subsidy available.
BACKGROUND PROFILE
  • 5+ years in Compliance, focusing on Charles River Compliance systems and equity markets.
  • Strong analytical, organizational, and communication skills
  • Bachelor’s degree in business or related field; advanced degree and certifications are a plus.
TRAVEL: Not required
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