Domini Impact Investments LLC is currently seeking a Compliance and Operations Associate to join our team in New York, New York.
Who we are:
- Domini Impact Investments LLC is a women-led SEC registered investment adviser specializing exclusively in impact investing. We serve individual and institutional investors who wish to create positive social and environmental outcomes while seeking competitive financial returns. We apply social, environmental, and governance standards to all our investments, believing they help identify opportunities to provide strong financial rewards to our fund shareholders while also helping to create a more just and sustainable economic system.
About the role:
- The Compliance and Operations Associate 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 Vice President, Finance 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.
What you’ll do:
- 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.
- 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.
- Prepare Performance Calculations and Create Performance Summaries and compare to Internal and Third-Party Provider Documentation.
- Attend Impact Review Committee Meetings for Compliance Oversight Purposes and Review Compliance post meeting Quality Control Checks.
- Perform accounting activities such as maintenance of the general ledger, accounts payable, accounts receivable and related tasks.
Our ideal candidate:
Education and Experience
- Bachelor’s Degree in finance, accounting or other relevant degree.
- 1 - 2 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
Skills and Abilities
- Ability to contribute productively while working with a fast-paced development team
- Ability to work with little to no micromanagement
- Ability to think creatively and use complex logic in order to find possible product issues
What we offer:
- Extremely competitive salary range commensurate with experience
- Medical benefits and 401k
How To Apply:
A 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: firstname.lastname@example.org