Compliance Operations Analyst

To apply for this position, email your cover letter and resume to careers@eventidefunds.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!

The Compliance Operations Analyst role offers an excellent opportunity for tech savvy individuals to apply their advanced technology skills to innovations within a growing, values-based investment adviser. The Analyst will use their computer skills and creativity to help automate, innovate and operationalize Eventide’s regulatory and business standards. This role offers the opportunity to work with experienced teams in the growing fields of so-called Financial Technology and Regulatory Technology (“FinTech” and “Reg Tech”).

The Analyst reports directly to the firm’s Chief Compliance Officer and General Counsel and works closely with experienced compliance, legal and business professionals. The Analyst designs, plans, scales, and continually innovates compliance program practices and related systems, data management, policies, and records. The Analyst works independently and creatively to evaluate and support opportunities for automation, AI, and other process improvements to help optimize the firm’s oversight of business, compliance, legal, and risk information. The Analyst plays a key role in ensuring that Eventide’s growth is appropriately scaled and aligned with industry requirements.

The Analyst evaluates and recommends enhancements to systems, architecture and processes that connect compliance and business users. The Analyst partners within the Compliance Team and across departments to understand changes in business practices and regulations with a goal to continually manage and reduce risks.

DUTIES & RESPONSIBILITIES

  • Establishing scalable and repeatable compliance processes enabled by technology, including identifying opportunities to leverage artificial intelligence
  • Establishing metrics, data analytics, and reporting to enable effective and efficient compliance operations management
  • Performing data assessment, organization, forensic testing, and risk reviews
  • Ensuring optimized systems setup, design, data analytics, and workflows
  • Formalizing process and procedures including for records storage and retrieval
  • Assessing potential compliance matters, errors, and root cause analysis
  • Helping to automate and configure systems used for monitoring portfolios, employee trading, contract management, and other core compliance areas subject to regulation
  • Working in close partnership within the Compliance Team to ensure that assignments align with team priorities and deadlines
  • Updating and monitoring the firm’s automated compliance calendar
  • Presenting reports, analyses, and recommendations to senior management

QUALIFICATIONS

  • Minimum of a bachelor’s degree preferred (computer/information science, computer engineering, and related).
  • 3+ years in FinTech / RegTech, systems and/or technology role — preferably within a securities firm or another highly regulated entity
  • Hands-on experience with system setups, design, risk identification / mitigation, and process development
  • Excellent written and oral communication skills
  • Expertise and creativity in handling data and designing spreadsheets, macros, pivot tables, and reporting solutions
  • Familiarity with systems such as Bloomberg AIM, Schwab Compliance Technologies (“SCT”), ISS ProxyExchange, Smarsh, and contract management tools
  • Excellent skills in core business applications within Microsoft Office and Google Suite
  • Intellectually curious, self-starter motivated to join Eventide’s mission to help improve society and the world through values-based investments
  • Proven history of commitment and interest in values-based efforts and initiatives
  • Work history demonstrating independent solutions, strong planning, and timely execution
  • Excellent attention to detail and with a focus on continual process improvements

Department: Compliance
FLSA Status: Exempt
Position reports to: Chief Compliance Officer and General Counsel
Position supervises: No one

To apply for this position, email your cover letter and resume to careers@eventidefunds.com.

Eventide is an equal opportunity employer

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.

News › Compliance Operations Analyst

Mutual funds involve risk including the possible loss of principal. Past performance does not guarantee future results. The Funds’ ethical values screening criteria could cause them to under-perform similar funds that do not have such screening criteria.

Investors should consider a fund’s investment objectives, risks, charges and expenses carefully before investing or sending money. This and other important information can be found in the prospectus, which can be obtained at https://www.eventidefunds.com/prospectus or by calling 1-877-771-EVEN (3836). Please read the prospectus carefully before investing. Eventide Mutual Funds are distributed by Northern Lights Distributors, LLC, Member FINRA/SIPC, which is not affiliated with Eventide Asset Management, LLC.