Compliance Director
EVENTIDE
This position is based in Boston, MA
To apply for this role, please send a resume and cover letter to: careers@eventideinvestments.com
Eventide is a growing, and mission-driven company looking to attract people who are eager to serve others and the global common good. Eventide employees work hard for the sake of others—our clients, other employees, and our world. We’re looking to make the world rejoice through a different kind of investing that puts capital to work in great businesses. Our mission is to honor God and serve our clients by seeking out investments in businesses creating compelling value for the global common good. Our proprietary Business 360® framework helps us identify and analyze stakeholder-oriented companies. Come join this exciting cause!
Eventide is seeking to hire a Compliance Director who will be responsible for providing thought leadership regarding the design, implementation, testing, and continual improvement of Eventide’s compliance program. The Compliance Director will enjoy excellent opportunities to advise senior management and gain knowledge across a wide range of topics. This position reports directly to Eventide’s Chief Compliance Officer and works closely alongside two additional members of the compliance team.
Duties and Responsibilities
§ Analyze and research complex regulatory matters involving investment advisers, investment companies, marketing and distribution practices, and changes to business activities and regulations
§ Design, draft and maintain policies, procedures, responses to questionnaires, regulatory filings, compliance calendars, and other documents supporting compliance programs maintained by Eventide and the Eventide Funds under 206(4)-7 and Rule 38a-1, respectively
§ Review advertising, social media, electronic communications, personal trading, conflicts of interest, portfolio compliance limits, and other compliance oversight functions
§ Present complex matters and recommendations to internal and external parties including senior management, trustees, sub-advisers, vendors, and regulators
§ Provide regulatory training and guidance to all Eventide departments including portfolio managers, research analysts, trading, finance, sales and marketing, and operations
§ Perform periodic risk assessments and testing
§ Provide support for regulatory examinations and inquiries
§ Monitor regulatory developments and provide updates to senior management
§ Improve compliance processes to continually enhance efficiency and effectiveness, including through automation
Qualifications
§ Bachelor’s degree business, economics, or a related field required; JD and/or MBA experience preferred
§ 10+ years in a financial services role involving compliance, legal or audit responsibility related to investment advisers, investment companies, and related distribution practices
§ Strong knowledge of the Investment Advisers Act and the Investment Company Act, including prior responsibility for related controls, policies, and/or reporting
§ Strong analytical, communication, and writing skills, with high attention to detail
§ Experience with FINRA and investment adviser advertising requirements
§ Advanced systems and data skills, including with Google and Microsoft, spreadsheets, Edgar, MyComplianceOffice system, Smarsh and/or other e-communication retention facilities
§ Ability to work well independently, prioritize, and manage time effectively in a dynamic and changing environment
§ Demonstration of the core values of Eventide in execution of duties and decision-making
§ Ability to work within compliance of Eventide’s Code of Ethics
§ Passion for and commitment to Eventide’s mission and investment philosophy; experience in values-based investments or organizations preferred
§ Proven history of improving control functions for investment advisers and/or funds
NOTE: This job description is not intended to be all-inclusive. Employee may perform other related duties as negotiated to meet the ongoing needs of the organization.
Department: Compliance
FLSA Status: Exempt
Position reports to: Chief Compliance Officer
Position supervises: None