Compliance Analyst

About This Role

The Compliance Analyst supports Eventide's Compliance team in implementing, testing, and continuously improving the firm's compliance program. This role offers an excellent opportunity to work with experienced team members and gain broad knowledge across various compliance topics, suiting a detail-oriented professional with a passion for values-based investments.

Responsibilities

• Evaluate and support opportunities for automation, AI, and other process improvements to optimize the firm’s oversight of business, compliance, legal, and risk information
• Perform testing procedures for a wide range of compliance program controls to support the evaluation of the effectiveness of firm’s policies and procedures
• Recommend updates to policies, procedures, and processes
• Monitor personal trading, assist with new hire and quarterly compliance certification reviews and other compliance oversight functions, and escalate issues appropriately
• Support preparation of regulatory filings and board reporting
• Formalize processes and procedures, including for records storage and retrieval
• Support Eventide’s vendor oversight process
• Assist with testing and oversight of Eventide’s proxy voting process
• Support oversight of portfolio management team’s expert network usage
• Support Marketing materials review (e.g., Fact sheets, commentaries, website pages, sales presentations)
• Support claims recovery process for Eventide’s products
• Research, evaluate, and document codes of ethics and other policies and procedures across industry peers to address regulatory requirements and industry best practices
• Update and monitor the firm’s compliance calendar
• Perform data assessment, organization, forensic testing, and risk reviews

Requirements

• Minimum of a bachelor’s degree
• 2+ years in compliance or investment operations for an investment adviser or related service provider
• Excellent attention to detail with a focus on continual process improvements
• Excellent written and oral communication skills
• Experience supporting a variety of client types, including mutual funds, ETFs, private funds, and separately managed accounts
• Excellent skills in core business applications within Microsoft Office and Adobe tools
• Intellectually curious, self-starter motivated to join Eventide’s mission to help improve society and the world through values-based investments
• Ability to work well independently, prioritize, and manage time effectively in a fast-paced and dynamic environment
• Passion for and commitment to Eventide’s mission and investment philosophy
• Demonstration of the core values of Eventide in execution of duties and decision-making