Compliance Officer

Full Time
,
Boston, MA

Job Summary

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 connect through interactions with affiliates, institutional clients, auditors and senior executives 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, UCITS, and other Pooled Products
  • Support CCO in Analysis of Regulatory, Industry and Best Practices changes and trends.
  • Collaborate with CCO in 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

Qualifications:

  • College Degree with a preference for Accounting, Audit, or Business Analytics coursework
  • Minimum 7 Years 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
  • Subject Matter Expertise Required in Amended Marketing Rule
  • Subject Matter Expertise Preferred in Mandate Compliance

Compensation:

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. We will only consider applications with an attached professional resume and cover letter. Please don’t call. To apply please email TAM_Compliance_jobs@trilliuminvest.com

Trillium provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, marital status, amnesty, or status as a covered veteran in accordance with applicable federal, state and local laws.
We will only consider applications with an attached professional resume and cover letter. Please don’t call.
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