The Compliance Officer assists the CCO in implementing and monitoring the firm’s compliance program. You will learn multiple areas of the compliance program and develop subject matter expertise in specific program areas. You will have opportunities for professional growth, including attainment of compliance-specific credentials. As a member of the compliance team, you will have opportunities to develop strong working relationships with members of the operations, marketing, investment, and advocacy teams. You will also have the opportunity to assist in interactions with affiliates, institutional clients, auditors and senior leadership of the firm.
About Trillium Asset Management
Trillium Asset Management offers investment strategies and services that advance humankind towards a global sustainable economy, a just society, and a better world. The firm has been at the forefront of ESG thought leadership and draws from decades of experience focused exclusively on responsible investing. Trillium uses a holistic, fully integrated fundamental investment process to uncover compelling long-term investment opportunities. Devoted to aligning stakeholders’ values and objectives, Trillium combines impactful investment solutions with active ownership. The firm delivers equity, fixed income, and alternative investments to institutions, intermediaries, high net worth individuals, and other charitable and non-profit organizations with the goal to provide positive impact, long-term value, and ‘social dividends’.
Duties and Responsibilities:
· Monitor and Test the effectiveness of compliance policies and procedures
· Advertising Review: firm, strategy, products, RFI and RFP responses, website and other public-facing materials
· Monitor and Test Trade Activity and Code of Ethics Reporting
· Monitor and Report Preparation for Portfolio-level compliance including 1940 Act Funds, and other Pooled Products
· Assist CCO in Analysis of Regulatory, Industry and Best Practices changes and trends.
· Assist CCO in Analysis of Business Initiatives including new products, new types of clients, and new markets
· Participate in Regulatory Examinations
· Monitor email and website archives
· Participate in Due Diligence Meetings
· Assist and support GIPS firm-level compliance
· College Degree with a preference for Accounting, Audit, or Business Analytics coursework
· Minimum 7Years of Investment Advisory Experience with less experience considered if you have compliance, audit, risk experience and/or related industry credentials
· Technological Proficiency
· Detail oriented and self-motivated
· Strong communication and collaboration skills
· Proven record of problem solving with increasing levels of responsibility
Trillium provides a generous compensation package that includes experience-commensurate salary; 401(k); profit sharing plan; group life, long-term disability, health, dental and vision insurance benefits; paid time off; and annual bonus potential.