Compliance and Operations Analyst

Description:

The Compliance and Operations Analyst is a member of a multi-focused team responsible for optimizing compliance, finance, and operations responsibilities within our organization. You will work closely with the Chief Compliance Officer and Finance Manager, as well as other internal teams, to ensure various financial, IA/IC/BD compliance, and operations duties are performed.  This position also serves as a client service representative to serve shareholders of Domini mutual funds with an industry-leading experience. Accuracy, attention to detail, enthusiasm for client interaction, as well as the ability to develop and maintain strict timelines are critical to success in this role. 

Life in a small firm requires a willingness to take on any task that needs completion to insure firm and project success.  These tasks often range from extremely micro (i.e. conference bookings, travel arrangements) to macro (champion of new projects and initiatives).  This requires a passion for engaging in new challenges and roles, as well as, serving basic duties, often so crucial to achieving strong results and superior best-in-class branding.

Essential Duties and Responsibilities:

Compliance

  • Broker-Dealer Compliance – Assist with administration of a compliance infrastructure and oversight program to support the firm’s broker-dealer activities pursuant to applicable SEC and FINRA rules, including creating, updating, and maintaining compliance policies and procedures and written supervisory procedures, including but not limited to monitoring and maintenance of Firm continuing education programs, annual office inspection and annual compliance meeting. 
  • Responsible for broker-dealer regulatory filings, such as updating Form BD, U-4’s, U-5’s, etc.
  • Investment Adviser/Investment Company Testing and Forensic Analysis 
  • Responsible for preparation and reconciliation of information pertaining to Investment Advisor and Investment Company Regulatory Filings such as N-Q, N-CSR, N-PX, 17g-1, 13F, N-PORT, N-CEN
  • Maintenance, preparation and updating of procedures and checklists for Investment Advisor and Investment Company Regulatory Filings
  • Maintain timeline and liaise with printer for annual registration statement update
  • Coordination, Compilation and Distribution of Domini Funds’ Board meeting materials
  • Preparation of training material packages for annual and other periodic training, as well as new hires
  • Cybersecurity Support – assist CCO with cybersecurity policies, procedures and controls             

Operations Administration

  • Responsibility for overall office environment and efficiencies, including both macro and micro issues such as supply ordering, kitchen maintenance and cleanliness, overall office appearance, etc.
  • Responsibility for administrative functions such as maintenance of the workgroup calendar, client meeting planning, organization and setup, greeting visitors, office vendor coordination, mail processing, etc.
  • Perform accounting activities such as maintenance of the general ledger, accounts payable, accounts receivable and related tasks.

  • Information Technology support, including equipment and software purchases, and outsource vendor liaison.
  • Completion of quarterly questionnaires and review of database input.

Requirements:

  • Undergraduate degree in finance, accounting or other relevant degree. 
  • 3 - 5 years of compliance, finance or asset management operations experience.
  • Creative, outgoing, organized, independent problem solver with excellent communications skills (written and verbal).
  • Experience working with internal partners and external vendors
  • Microsoft Office, Peachtree, Bloomberg
  • Series 6, 26, or 99 preferred but not required

How To Apply:

Resume and cover letter, including salary requirements must be submitted to be considered for this position. Please note that any applicants that do not include salary requirements will not be considered. Please forward your resume and cover letter to: careers@domini.com


Check the background of DSIL Investment Services LLC and its investment professionals on FINRA's BrokerCheck.

Before investing, consider the Domini Funds’ investment objectives, risks, charges, and expenses. View or order a prospectus. Read it carefully.

The Domini Funds are distributed by DSIL Investment Services LLC (DSILD), Member FINRA. Domini Impact Investments LLC (Domini) is the Funds’ investment manager. The Funds are subadvised by Wellington Management Company LLP. DSILD and Domini are not affiliated with Wellington Management Company LLP.

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