Investment Compliance Analyst

4 weeks ago

San Francisco, United States Dodge & Cox Full time

Dodge & Cox is seeking an experienced Investment Adviser/Investment Company compliance professional. The Investment Compliance Analyst will assist in the implementation and maintenance of the system used to monitor client investment guidelines and restrictions and will report directly to the Head of Investment Compliance. The successful candidate will coordinate with various departments including Portfolio Managers, Traders, Portfolio Implementation, Client Service, Operations, Technology, and Legal personnel to communicate and resolve investment guideline compliance-related issues.

Primary Responsibilities:

  • Assist in the implementation and maintenance of the investment compliance system
  • Monitor compliance with client investment guidelines and restrictions including:
    • Ensuring proper restriction coding in our investment compliance system
    • Testing new and existing investment restrictions
    • Ensuring timely and accurate review and implementation of applicable investment guideline updates
    • Reviewing and updating new and revised restricted lists
  • Review new investments against a screening database to identify potential environmental, social or governance (ESG) issues for purposes of applying client social guideline restrictions
  • Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Portfolio Implementation, Client Service, Operations, Technology, and Legal personnel to communicate and resolve investment guideline compliance issues
Qualifications:

Dodge & Cox seeks candidates with high levels of academic and professional achievement and leadership ability.
  • Four year college degree (B.A. or B.S.) with an excellent academic record
  • 1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience
  • Experience coding investment guidelines and restrictions and performing pre and post trade compliance monitoring highly desirable
  • Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
  • Detail oriented with effective follow-up skills
  • The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines
  • Knowledge of trade order management and compliance systems (Charles River, EZE, etc.) preferred
  • The ability to work independently on assigned responsibilities, as well as to accept direction on assignments
  • Willingness to assist in performing other compliance-related analytical tasks
  • Ability to work effectively as part of a team and foster the strong culture of compliance
  • Experience/knowledge of equity and fixed income asset classes, security types; common derivatives preferred
Requirements:
  • Dodge & Cox has a 3/2 hybrid work model, and all Dodge & Cox employees are required to be in their assigned office as noted in the job posting Tuesday - Thursday each week, with the option to work remotely on Monday and Friday.


The salary range for this position is $110k - $130k.

The listed pay scale denotes only the pay range of the base salary and does not include discretionary bonus compensation, which may make up an important portion of the total remuneration. Dodge & Cox encourages applicants to consider the value of the many competitive benefits it offers, including coverage of 100% of all healthcare premiums for employees and their families and fully funding a retirement plan at 25% of the total compensation to the IRS limit. Dodge & Cox also provides additional benefits such as commuter, health & wellness, backup care, matching gift, employee assistance, and life and disability insurance. The listed pay scale reflects the base salary Dodge & Cox reasonably expects to pay for this position and is not a reflection of the highest and lowest base salary of any current Dodge & Cox employee. Actual base salary will be based on factors such as the candidate's prior relevant experience (including within and external to Dodge & Cox, as applicable), education, skills, and knowledge.

The job description above is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. It is the Company's policy to provide equal opportunity to all persons without regard to race, color, religion, sex, pregnancy, marital or domestic partner status, sexual orientation, gender identity or expression, age, ancestry, national origin, disability, or medical condition, as defined in state and federal laws. This policy covers all aspects of employment including, but not limited to, recruitment, selection, training, promotion, transfer, compensation, demotion, and termination. By applying for a position with Dodge & Cox, you acknowledge that you have read our EEO Policy

All Dodge & Cox employees must adhere to the Firm's security policies and Code of Ethics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

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