Compliance Manager

3 days ago

San Francisco, California, United States Parnassus Investments Full time
Job Title: Compliance Manager

Parnassus Investments is a leading responsible investment company seeking a skilled Compliance Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring the company's compliance with regulatory requirements and internal policies.

Key Responsibilities:
  • Manage the administration of the Charles River Compliance system to monitor portfolio compliance for mutual funds, separately managed accounts, and other products.
  • Produce month-end reports for each portfolio from the Charles River Compliance system for portfolio managers and CCO to review and sign.
  • Review and update securities on Charles River to ensure certain securities were qualified at time of last purchase.
  • Maintain company's approved list and restricted list for client accounts and personal trading.
  • Manage day-to-day administration of ComplySci system to ensure Code of Ethics compliance.
  • Perform monthly and quarterly ESG screening for SMA clients using MSCI and Sustainalytics.
  • Review employees' 401(k) plan accounts and other employee accounts to monitor trading in Parnassus Funds to ensure there is no frequent trading, per the Code of Ethics.
  • Analyze and produce monthly soft dollar trading reports for funds and separate accounts.
  • Assist with compiling data for annual prospectus and statement of additional information update.
  • Assist with compiling data for annual Form ADV update, as well as any amendments.
  • Assist with new applications and annual renewals for fidelity bond, D&O/E&O and other insurance policies.
  • Assist CCO in monitoring employee trading in Parnassus Funds to ensure there is no frequent trading, per the Code of Ethics.
  • Assist with preparing affiliated transactions and persons report for mutual fund board meetings and annual trustee and officer questionaries.
  • Provide assistance as directed for responses to regulatory exams, mock exams, proxies, and other special projects.
  • Lead and participate in projects requiring interaction with other staff and departments.
  • Manage multiple tasks and projects simultaneously.
  • Assist with projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems.
  • Present complex information in a professional and easy-to-understand manner through written materials or presentations for a wide variety of audiences.
  • Keep abreast of changing regulatory requirements.
  • Implement and support the department's strategic direction, vision, and mission in alignment with the Company's strategy.
  • Responsible for visibly supporting the Company's business initiatives and the initiatives of other departments.
Requirements:
  • 5+ years of experience with Compliance with emphasis in use of Charles River Compliance.
  • Experience with and understanding of the equity market and investment products including mutual funds.
  • Ability to prioritize, collaborate, and problem-solve effectively to meet project deadlines.
  • Excellent analytical, organizational, written, and communication skills.
  • Proficiency with the latest computer technology, particularly Microsoft Office and related applications such as Teams.
What We Offer:
  • Competitive compensation commensurate with experience and skills.
  • An annual bonus based on several factors including both profitability and individual performance.
  • 100% coverage of medical, dental, and vision premiums for you and your family with no waiting period.
  • 2:1 charitable contribution matching to non-profit organizations.
  • This position is based in our San Francisco office with a hybrid model of 3 days/week in-office and 2 days/week remote.

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