Women Investment Professionals

Jobs

Current Positions Available

The following are employment listings received by the Women Investment Professionals for posting on this website. These jobs are posted for 30 days, and can be resubmitted for an additional 30 day posting, if desired. Currently, there is no charge for posting a job. You can submit a job to be posted by email to: info@wipchicago.org

At Parametric, we offer competitive salaries, generous benefits and opportunities for growth and development. We invite you to explore our available job opportunities listed below and look forward to having you become a part of our continued success!

General Description

The Operations Analyst is responsible for the implementation of controls such as reconciliations and trade confirmations for a variety of asset classes.  Other priorities include trade settlement, management of cash and positions, and the ongoing improvement of operational effectiveness.

Primary Responsibilities

  • Reconcile trades and other transactions against various resources such as brokers and custodians.
  • Instruct, monitor and verify the settlement of trades, and the transfers of positions and cash.
  • Research and resolve trade and account discrepancies in a timely manner to minimize fails and unnecessary expense.
  • Leverage business relationships with counterparties to negotiate and expedite the implementation of operational solutions and improvements.
  • Analyze daily collateral needs.  Monitor counterparty exposure and transfer collateral to minimize credit risk for clients.
  • Research and resolve complex problems involving asset valuation, ISDA terms & protocols, settlement calculations, security profiles, system applications and logic.
  • Review and advise in the negotiation and operational implementation of ISDA/CSA agreements.
  • Escalation of urgent issues, aged reconciliation discrepancies and breakdowns in operational controls.
  • Process ad-hoc requests from trading, accounting and clients.
  • Assist in the automation of operational processes; propose solutions, liaise with developers and test enhancements.
  • Cross-train on all departmental responsibilities.
  • Maintain current operational procedures.

Job Requirements

  • Associates (2yr) or Bachelor’s (4yr) degree in Finance, Accounting or Economics preferred
  • 3+ years experience in confirmation, settlement and asset servicing of futures, options, OTC derivatives, stocks, bonds and ABS/MBS in financial operations
  • Familiar with DTCC, ICELink, MarkitSERV and other OTC related trade affirmation platforms
  • Competent in Microsoft Office with strong skills in Excel, VBA/Macros a plus
  • Strong attention to detail and ability to work independently under tight deadlines
  • Conduct responsibilities in a manner consistent with Parametric’s business needs and objectives
  • Required to work alternate hours as needed

Parametric is an equal opportunity employer and is committed to providing a work environment that is free of discrimination and harassment.  It does not discriminate against applicants or employees with respect to any terms or conditions of employment on account of race, color, religion, creed, national origin, ancestry, sex, sexual orientation, age, pregnancy, parenthood, physical or mental disability (actual or perceived), medical condition including genetic characteristics, marital status, citizenship status, military service, gender, gender identity or express, registered domestic partner status, domestic violence victim status, status with regard to public assistance, or any other characteristic protected by applicable federal, state or local laws.  Parametric also prohibits discrimination based on the perception that a person has any of those characteristics or is associated with a person who has or is perceived as having any of those characteristics.  This commitment applies to all persons involved in the operations of Parametric, and prohibits unlawful discrimination by any employee of Parametric, including supervisors and co-workers.  All employment decisions shall be consistent with the principles of equal employment opportunity.

Apply Online

Title: Director of Finance
Department: Operations & Leadership Team
Reports to: Chief Operating Officer
DiMeo Schneider & Associates, L.L.C. is a nationwide investment consulting firm with over 175 employees and approximately $200 billion in assets under advisement. We serve Retirement Plans, Nonprofit Institutions, Private Clients and Financial Institutions. The firm operates as part of a joint venture with NFP, a leading insurance broker and consultant with over 5,600 employees and revenues in excess of $1.4 billion.
The Director of Finance is critical in further accelerating the firm’s growth by establishing, implementing and leading strategic financial direction, producing measurable results and striving for continuous improvement. This individual must have previous experience in financial services, investment management or investment consulting. The Director of Finance will exemplify a passion for finance and demonstrate change management expertise. This role is vital to the success of the firm’s financial activities and responsible for thought leadership in upholding service standards for both our clients and colleagues. The position will be based in the firm’s Chicago, IL office.
Functions & Responsibilities:
• Oversee day-to-day operations of the Finance department consisting of five professionals; determine optimal roles and responsibilities of the team;
• Maintain financial compliance with federal, state and local requirements, and ensure financial reporting is audit-ready at all times;
• Working with the COO, lead the annual budget process to achieve growth targets and prepare detailed reports, both current and forecasted;
• Develop and accountable for the firm’s financial operations strategic business plan;
• Manage firm financial functions by establishing, implementing and monitoring policies and procedures to optimize firm financial operations and achieve measurable results;
• Provide proactive reporting on the firm’s financial condition by preparing, interpreting and reporting key financial data and creating straightforward summary reports periodically for firm stakeholders;
• Calculate compensation and profit distribution figures for partners;
• Hire, train, develop and review the performance of the Finance team with consultation provided by Human Resources;
• Maintain and build trusted relationships with key business partners, colleagues and stakeholders;
• Provide resources and insights within and across departments and offer thought leadership on special projects and varied requests; and
• Develop key management metrics for the business, including Business Line and Client Profitability analyses.
Knowledge, Skills & Abilities:
• Financial services, investment management or investment consulting experience required;
• Bachelor’s degree required in Finance, Accounting, Economics or Business;
• CPA or relevant certification preferred;
• Master’s Degree a plus;
• 10+ years of relevant work experience;
• Excellent people and collaboration skills, with an ability to partner with a dynamic Leadership Team;
• Possess personal qualities of integrity, credibility and commitment to corporate mission;
• Leadership skills, with steadfast resolve and personal integrity;
• A solid grasp of data analysis and performance metrics;
• Ability to diagnose problems quickly and have foresight into potential issues;
• Advanced knowledge of CRM tools;
• Proficient in Microsoft Office Outlook, Word and Excel is required;
• Proactive communicator with excellent oral and written communication skills;
• Resourceful and comfortable working independently;
• Strategic business partner at all levels of leadership;
• Success managing and optimizing teams of people;
• Deep understanding of quarterly billing processes, financial principles, cash flow analysis and best practices;
• Effectively balance, prioritize and delegate several initiatives while managing expectations; and
• Thoughtfully driven, accountable and able to check your ego.
Travel Requirements:
• 5-10% travel for office visits, trainings and other business events
Work Environment:
• This role works in a professional office environment located in downtown Chicago, IL
• This role routinely uses standard office equipment such as computers, phones and photocopiers
Physical Demands:
The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job.
• Sitting, particularly for sustained periods of time
• Regularly required to speak and hear
• Frequently required to stand, walk, use hands and fingers, handle or feel and reach with hands and arms
• Ability to lift up to 25 pounds
• Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions
Please submit your application by emailing your resume to careers@dimeoschneider.com and reference the job title in the subject of your email.
DiMeo Schneider & Associates, L.L.C. provides equal employment opportunities to all associates and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

At Parametric, we offer competitive salaries, generous benefits and opportunities for growth and development. We invite you to explore our available job opportunities listed below and look forward to having you become a part of our continued success!

General Description

This position reports to the Manager of QA Engineering.  As as Senior QA Engineer, you will be responsible for testing proprietary software solution, design, build and support of Test Automation software.  You will be integrated with a project Team to deliver strategic and tactical enhancements to Parametric’s proprietary software suite.  You’ll also collaborate with other technology teams in the organization as necessary, including Infrastructure, DevOps, InfoSec and Release Management.

Primary Responsibilities

  • Design, implement and maintain Test Cases and Test Plans for Parametric’s proprietary software
  • Design, implement and maintain Automated Test Suites for Parametric’s proprietary software
  • Perform functional, exploratory, user acceptance testing and automated testing as part of Software Development Lifecycle and Release Process
  • Provide thought and practice leadership in Testing excellence among Software Development and Testing peers
  • Strive to develop and conduct software testing with high standards, thinking about engineering excellence.
  • Assist and mentor other QA engineers with User Acceptance Testing, which includes answering client questions, tracking all reported issues and identifying whether they are bugs or enhancements
  • Learn and contribute to development across the entire stack (backend, DB, front end, UI)
  • Engage in a highly collaborative team environment including business partners and product owners
  • Contribute to high-velocity delivery with safety; enable agility and iterative changes to the UI and product design

JOB Requirements

  • Bachelor’s degree
  • 7+ years of software testing and test development experience
  • Strong communication skills
  • Well-versed in all testing methodologies (black box, white box, system, functional, exploratory and automated testing)
  • Ability to quickly understand complex business problems
  • Experience in one or more Test Automation Frameworks – Appium, Selenium
  • Proven experience building high quality and comprehensive test plans and test cases custom software
  • Proven experience testing web applications, web apis and data driven applications
  • Proven experience designing and implementing automated test suites
  • Proven experience with CI/CI pipelines
  • Experience in an Agile delivery environment
  • Strong SQL coding and debugging skills
  • Experience with service oriented architectures a plus
  • Experience with cloud platform services a plus

Apply Online

Parametric is an equal opportunity employer and is committed to providing a work environment that is free of discrimination and harassment.  It does not discriminate against applicants or employees with respect to any terms or conditions of employment on account of race, color, religion, creed, national origin, ancestry, sex, sexual orientation, age, pregnancy, parenthood, physical or mental disability (actual or perceived), medical condition including genetic characteristics, marital status, citizenship status, military service, gender, gender identity or express, registered domestic partner status, domestic violence victim status, status with regard to public assistance, or any other characteristic protected by applicable federal, state or local laws.  Parametric also prohibits discrimination based on the perception that a person has any of those characteristics or is associated with a person who has or is perceived as having any of those characteristics.  This commitment applies to all persons involved in the operations of Parametric, and prohibits unlawful discrimination by any employee of Parametric, including supervisors and co-workers.  All employment decisions shall be consistent with the principles of equal employment opportunity.

The information on this website is for U.S. residents only and does not constitute an offer to sell, or a solicitation of an offer to purchase, securities in any jurisdiction to any person to whom it is not lawful to make such an offer. Investing entails risks and there can be no assurance that Parametric (and its affiliates) will achieve profits or avoid incurring losses. All investments are subject to potential loss of principal. Parametric does not provide tax or legal advice. Prospective investors should consult with a tax or legal advisor before making any investment decision. Please refer to the disclosure page for important information about investments and risks.

Description:
Founded in 1932, Gofen and Glossberg, L.L.C. provides investment guidance to individuals, families, foundations, endowments, companies and retirement plans. Based in Chicago, the firm manages more than $5B in assets. Our successful long-term approach to wealth management is shaped by the personal and collaborative relationships we have formed with clients and their families across generations. We custom-tailor an investment strategy to address each client’s objectives. As an independent investment counselor, our only commitment is to our clients and their best interests. Personal attention and service are the hallmarks of our firm.
Responsibilities:
The portfolio manager is responsible for designing and implementing the best investment strategy for clients. In this role, the person will determine the optimal mix of equities, fixed income and other investments to build each client’s portfolio to meet their financial goals. Additionally, the position requires a person with broad knowledge of equity analysis, global markets and risk management. The individual will collaborate with our team of portfolio managers and equity research analysts to serve clients. In addition, the portfolio manager will be responsible for client acquisition and retention of client/family relationships.
Qualifications:

  • Minimum of 10 years of portfolio management experience
  • Knowledge of equity and fixed income markets, including experience with individual security analysis and selection
  • Demonstrated understanding of the investment management process including asset allocation, investment selection, and incorporation of relevant tax and estate planning.
  • Proven track record of prospecting and managing investment portfolios for high net worth clients, including conducting comprehensive portfolio reviews and presenting a broad market, economic, and political outlook.
  • Similar experience with institutional clients, including foundations and nonprofit organizations that have endowment funds.
  • Experience with financial planning
  • Excellent written and verbal communication and presentation skills
  • An ability to be both a self-starter and team player with a keen interest in serving clients
  • Desire to work in small, entrepreneurial RIA environment.
  • CFA Charterholder and/or MBA required

Contact:
To apply for the position, please send a cover letter and resume to
recruiting@gofen.com
Gofen and Glossberg, L.L.C. is an Equal Opportunity Employer.

Job Purpose

The Valuation Analyst II performs many of the key aspects of the valuation process for a diverse and complex line-up of registered mutual funds that support Jackson’s variable annuity products. The Valuation Analyst II works closely with internal and external partners, as well as many of the mutual fund industry’s top investment advisors, to ensure the accurate processing of various Operational activities related to complex securities and derivatives. The Analyst must be able to operate independently, be willing to embrace new technologies, and demonstrate understanding of a wide range of security types.

Essential Job Duties & Responsibilities

  • Responsible for accurate and timely submission of prices for all securities into the accounting system.
  • Researches and validates all significant market value movements and provides appropriate support.
  • Oversees the set-up and proper valuation of all newly created derivative positions (including interest rate swaps, swaptions, credit default swaps, OTC options, etc.).
  • Determines appropriate valuation techniques for securities without an active market and measures the accuracy of those techniques.
  • Monitors and analyzes the performance of external pricing vendors.
  • Coordinates and communicates with brokers, sub-advisors and vendors to ensure consistent pricing.
  • Analyzes the valuation process and determines ways to increase operational efficiencies.
  • Responds to inquiries from accounting staff on pricing and security set up issues.
  • Creates various daily and month-end reports.
Other Duties
  • Researches and resolves ad-hoc requests from management and other departments.
  • Other duties as assigned.
Knowledge, Skills & Abilities
  • Basic understanding of valuation techniques and principles.
  • General knowledge of financial markets and complex securities.
  • Strong PC skills including Microsoft Word, Access, Excel and other relevant department software.
  • Demonstrates the ability to effectively collaborate across departments.
  • Solid written and verbal communication skills; Ability to communicate effectively with peers and management.
  • Strong time management and organizational skills; Proven ability to prioritize and multi-task effectively.
  • Proactive in self-development and provides meaningful feedback to superiors regarding progress and goal setting.
  • Solid analytical and problem-solving skills.
Education and Experience
  • Bachelor’s degree in accounting or finance required.
  • 2+ years of related work experience required.
  • Progress towards CFA, CPA or Bloomberg preferred.

Job Level that this position reports to (i.e., Supervisor, Manager, Director, etc.):

Supervisor or above

Apply Online

 The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all job duties performed by the personnel so classified.

Our client, New Jersey Department of the Treasury – Division of Investment (the “Division”), based in Trenton, is seeking a Chief Operating Investment Officer / Senior Risk Officer.  With $92 billion in assets under management, the Division is the 40th largest pension fund manager globally and the 18th largest among U.S. public and corporate pension fund managers.

The Chief Operating Investment Officer / Senior Risk Officer will be responsible for overseeing the analysis of composite investment risks within the various asset classes and portfolios, along with the assessment and resolution of operational risks, as well as operational oversight of the Cash Management Fund and the Pension Fund’s securities lending program.

To LEARN more and view the DESIRED QUALIFICATIONS please click below to view the Position Specifications:

https://eflassociates.cbiz.com/Portals/2/Denver/DOI_COIO_FINAL%20Position%20Specs%2075XX.pdf

To apply please send your resume to Lauren at lmcelderry@eflassociates.com.

Our client, the New York State Office of the State Comptroller, is seeking a Senior Investment Officer – Real Assets.  This position can be based in the New York City or Albany office. This role will report to the Director of Real Estate and Real Assets.

To LEARN MORE about the Responsibilities and Preferred Qualifications please view the Position Specifications: https://eflassociates.cbiz.com/Portals/2/Denver/OSC_SIO_RA_Specs%20Final%207564.pdf

 

To APPLY please email your resume to Lauren at lmcelderry@eflassociates.com.

 

Organization Background GHR Foundation is an independent philanthropy of service to people and their limitless potential for good. Alongside our partners around the world, we reimagine what’s possible when pursuing impact on issues related to Children in Families, Education, Racial Equity, Alzheimer’s Disease and more.
For more than 50 years, the design-build legacy of Opus Group founders Gerald and Henrietta Rauenhorst (GHR) has guided our optimistic and transformational philanthropic approach. To achieve GHR’s purpose, we are guided by shared values calling us to lead with love, reimagine what’s possible, partner boldly, navigate and adapt. In working this way, our external impact extends beyond programmatic funding to influential leadership within philanthropy and across the social sector. Internally, we nurture an inclusive and anti-racist organizational culture centered around curiosity, courage, and trust that values both the individual and team.
The Foundation’s $1.0 billion portfolio is primarily invested through external managers and is currently allocated across a diversified range of asset classes and strategies including domestic and international equities, marketable alternatives, private capital, and fixed income.
Position Summary
GHR’s investment function is in a formative stage of its development, having been recently established within the Foundation in 2017. Having completed the process of consolidating the Foundation’s assets under the oversight of its own investment team, GHR’s investment office is now fully focused on developing and executing upon a successful long-term investment strategy consistent with the organization’s mandate to provide charitable funds in perpetuity. This environment should present the successful candidate with a unique opportunity for professional growth in the form of direct involvement in the design, implementation, and ongoing maintenance of critical investment office data and analytics infrastructure as well as in providing assistance to the investment team’s sourcing, due diligence, and ongoing monitoring of new and existing investment strategies.
The Investment Analyst will join GHR’s three-person investment team managing an endowment-style portfolio invested across public and private traditional and alternative investment strategies. The investment office deploys capital primarily through investment funds/portfolios managed by external managers but also has the flexibility to pursue direct investment opportunities such as co-investments. The portfolio is and will remain equity-biased, but the successful candidate will bring experience working with, or will demonstrate the capacity to develop a working knowledge of, a broad range of asset classes including fixed income and real estate.
The Investment Analyst will be expected to support a variety of investment and operational functions within GHR’s investment department and the successful candidate will demonstrate proficiency in investment performance calculation and attribution concepts, past experience using and/or implementing investment risk and performance analytics systems, and the intellectual capacity to create novel solutions to complex investment problems. At the outset, the Investment Analyst will be heavily involved in supporting the investment office’s implementation of a robust investment risk and performance analytics platform. The Investment Analyst will also have primary responsibility for the ongoing maintenance of this platform once implemented, serving as the team’s subject matter expert for investment portfolio performance reporting and analysis and the management and oversight of the investment department’s external and internal relationships related to investment operations.
Critical to the Investment Analyst’s success will be the ability to ensure accurate, high quality output from an investment reporting system in addition to the ability to communicate the implications of that output into informative, actionable investment insights. The Investment Analyst role should also provide the successful candidate with direct exposure to the investment department’s investment sourcing and due diligence activity, particularly with respect to the analysis of new and existing investment strategies’ performance and risk. While the Investment Analyst’s primary role will be to serve as the investment department’s subject matter expert on investment risk and performance analytics, engagement in the underwriting and monitoring of investment strategies could increase over time as the investment office’s systems infrastructure implementation and automation opportunities are achieved. The Investment Analyst will report to GHR’s Investment Director and collaborate with the Chief Investment Officer and Investment Analyst.
Primary Responsibilities
• Assist in the implementation of an enhanced investment risk and performance analytics platform including direct involvement evaluating existing vendor relationships and onboarding of new vendors
• Manage external vendor relationships related to GHR’s investment operations and due diligence infrastructure including GHR’s custodial bank, performance and analytics provider, and manager and benchmark database providers
• Provide oversight to GHR’s external service providers involved in investment reporting and data management, including reconciliation of investment accounting and performance data between investment managers, custodial bank, and portfolio reporting system
• Liaise with GHR’s grants management, finance and accounting, and investment departments to support internal GHR processes including financial reporting, cash management, and budget forecasting
• Assist in the creation of presentation materials for GHR’s Investment Committee and Board of Directors
• Prepare monthly flash reports on investment performance and allocation for the internal management team and quarterly reports for the investment committee to aid in evaluating investment results and the portfolio’s risks and exposures
• Help maintain documents and investment department research output in an easily accessible manner
• Support the investment team’s sourcing and due diligence of new and existing investment strategies
• Travel to attend manager meetings and industry conferences, as appropriate
Qualifications
Candidates for consideration should be motivated self-starters possessing the following:
• Strong interpersonal skills including an affinity for teamwork, learning through networking, and developing relationships
• Willingness to bring a high-energy focus and dedicated effort to producing work of the highest quality and accuracy for the investment department, investment committee, and board
• A sincere interest in the non-profit sector
• Respect for the importance of a diverse and inclusive anti-racist work environment
• A passion for investing
• Honesty, integrity, and sense of financial stewardship
In addition, the successful candidate will meet the following qualifications:
• Undergraduate degree with a record of academic achievement. Preference will be given to candidates with progress toward relevant industry designations or certificates, including the CFA and/or CIPM designations.
• 0 – 3 years relevant professional experience preferred. Preference will be given to candidates with prior direct experience in investment management, investment performance measurement, investment operations, and/or investment consulting.
• Excellent organizational, problem solving, mathematical, interpersonal, and communication (oral and written) skills. Preference will be given to candidates with demonstrated project management skills and ability to meet strict deadlines.
• Strong technical skills, including adept proficiency with Microsoft Office tools, including Microsoft Excel, and investment portfolio performance and analytics software such as Solovis, Novus, Bloomberg and/or similar software.
• Eligible to work in the United States without employer sponsorship.
• Willingness to travel domestically and abroad as needed, approximately 15%.
Working Conditions
This is a typical office environment in which employees use office equipment like personal computers, copiers, telephones; stand or sit at a desk for long periods of time (2-3) hours; may need to lift and move documents and supplies (not to exceed 25 lbs.); and bend to file or retrieve documents. Occasional domestic and international travel may be required.
GHR Foundation places a high priority on the health and safety of its employees, guests, external partners and broader community. In response to the COVID-19 global pandemic, GHR management made the determination to transition to a remote work environment. The Foundation intends to reopen its physical office when it is deemed safe to do so. However, given the evolving health situation, the Foundation is not able to provide specific guidance on when its office will reopen, and it is possible that the successful candidate will work remotely for an extended period.
GHR is an equal opportunity employer and will not discriminate against any applicant for employment because of race, color, religion, sex, national origin, disability, age, genetic information, or any other status protected by state or local law for an individual who falls within the jurisdiction of such law.
We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
To Apply
Send resume and cover letter to jlynch@ghrfoundation.org

About the Firm
Firm Mission: “Achieving Client Success Through Research and Technology”
Los Angeles Capital, the “Firm”, is a global equity manager of assets for leading institutions around the world. The Firm is recognized as a pioneer in dynamic equity management, utilizing proprietary technology to engineer equity portfolios that adapt to today’s equity market. The Firm’s senior investment professionals have worked together for three decades developing models for measuring and forecasting return and risk of global equity securities. The Firm manages approximately $28 billion as of August 31, 2020 across a wide variety of public equity strategies designed to meet institutional client return and risk objectives. The Firm has been ranked for six years in a row by Pensions and Investments as one of the “Best Places to Work in Money Management”. The Firm’s working environment places a strong focus on teamwork and values work-life balance. The Firm offers a competitive compensation package which includes health care plans, 401(k), and top-tier benefits. The Firm is 100% employee-owned and seeks to share equity to retain and motivate employees long term. Los Angeles Capital firmly believes the quality and commitment of the individuals are vital to the success of the Firm, ensuring that client expectations are exceeded.
COVID-19 Hiring: We recognize how challenging it is to start a new role with a new company during this uncertain time. Our team is here to support you every step of the way. During the pandemic, we have transitioned to a work-from-home environment until further notice. All of our recruiting and onboarding activities are virtual. We encourage you to discuss Los Angeles Capital’s response to COVID-19 throughout your recruiting process.
Job Description
The RFP Associate will work in the Investor Communications and Marketing Group (ICM), which is responsible for written collateral communication (e.g. presentations, RFPs, factsheets, and newsletters) both internally and also between the Firm and the financial community, including clients, prospects, and consultants. The ICM is an integral part of the Relationship Management department, which is responsible for developing business relationships with prospective institutional investors and investment consultants and supporting the servicing of institutional clients. The RFP Associate will work closely with senior management, portfolio managers, business development professionals, legal, and compliance and will report to the individual in charge of the ICM.
Essential Duties and Responsibilities:
 Complete requests for proposals (RFPs), requests for information (RFI), operational due diligence questionnaires (DDQ) and ad-hoc requests from investors and consultants
o Analyze RFP, RFI, and DDQ requirements
o Draft compliant responses, adding customization as needed to reflect a targeted
response to the specific opportunity
o Gather data and documents and completion of forms
o Proof, review, and package submission
o Handle follow-up work associated with RFPs moving to the next phase
 Maintenance of content database system (Qvidian); including adding new records and updating existing content
 Coordinate with subject matter experts across the firm to gather information for RFPs
 Develop an understanding of the Firm’s investment process and products
 Participate with the team in a wide variety of tasks associated with business development including RFPs, market insights, and newsletters
 Contribute to outsourced consultant database population for update/review of qualitative firm/strategy information and review of quantitative data
 Liaise with Legal and Compliance in order to uphold regulatory standards for marketing materials
 Special projects as assigned
General Skills and Qualifications:
 Strong RFP and technical writing experience required, minimum of three years
 Highly organized, detail oriented, and committed to quality
 Mature team player who can thrive in a fast paced, challenging yet collaborative work environment
 Able to manage time effectively in spite of competing priorities and deadlines
 Highest ethical standards and demonstrates good judgment
 Clear written and oral communication
 Proactive problem solver with ability to work independently
 Ability to create trust and respect with peers
 Advanced skills in PowerPoint, Excel, and Word
 Undergraduate degree required
 Minimum of three to five years of experience in institutional asset management or a professional services environment
To apply
Please respond with a cover letter and resume to careers@lacapm.com.
Los Angeles Capital is an SEC registered investment adviser and required to track certain political contributions under rule 206(4)-5. Therefore, you will be required to disclose your prior political contributions.
Los Angeles Capital is an Affirmative Action/Equal Opportunity Employer committed to providing employment opportunity without regard to an individual’s race, color, religion, age, gender, gender identity, sexual orientation, national origin, ancestry, marital status, medical
condition, genetic information, veteran status or disability. For more information about the company, please refer to our website at www.lacapm.com.

Job Description:

The Senior Compliance Analyst is responsible for the execution of processes relating to Compliance Oversight Programs including controls and testing, monitoring and surveillance and other compliance issues. The Senior Compliance Analyst will act a steward of Dimensional and plays a vital role in ensuring compliance with all regulatory bodies and governing laws.

Responsibilities:

  • Manage departmental compliance projects as assigned, such as annual compliance testing

  • Review sales materials for adherence to compliance regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.)

  • Provide expert advice and guidance to the firm and its employees on communications content across multiple delivery channels: including but not limited to website and print materials, research papers, and investment advisor materials

  • Provide expert advice and guidance to the firm and its employees on communications content related to social media

  • Ensure all ETF and fund-related materials and associated disclosures are in compliance with regulations; responsible for timely filing of marketing materials with FINRA

  • Serve as a compliance resource for the Marketing, Global Client, Investment Solutions and Research Groups,

  • Program manage internal business partners to ensure timely delivery of compliance reporting and initiatives

  • Contribute to the development and delivery of the annual firm compliance meeting

  • Participate in the review and make updates for the maintenance of written supervisory policies and procedures for FINRA and other compliance programs

  • Research, analyze, and identify key data-driven insights and clearly articulate these insights in the form of actionable recommendations for Compliance

  • Design processes and draft procedures regarding reporting requirements and other compliance related activities

  • Review reports, risk indicators, and red flags to identify and propose corrective action

  • May conduct Compliance training for various functional groups

  • Assist with the day-to-day guidance of junior compliance staff

Qualifications:

  • Bachelor’s degree

  • 5+ years of professional work experience in financial service industry within a compliance related field

  • Proficient knowledge of financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)

  • Proficiency in compliance management systems

  • Technical and professional skills or knowledge of testing methodology, risk and controls analysis

  • Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner

  • Strong relationship building skills and an ability to work well in a team environment, both locally and globally

  • Ability to impact and influence others across the organization

  • Strong analytical mindset with an ability to synthesize data

  • Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines

  • Ability to work independently to meet project requirements with minimal supervision

  • Ability to maintain confidentiality and data accuracy when handling sensitive information

  • Proficient in the Microsoft Office suite

Preferred Qualifications:

  • Continued post-graduate education or advanced degrees

  • Professional Certifications (CRCM, CFA, etc.)

  • Series 7 or working towards Series 7 certification; must complete within 2 years in role

  • Experience with Compliance review of marketing materials for registered mutual funds and ETFs

  • Experience with Compliance review of content related to social media

 To ensure the safety and wellbeing of our employees during COVID-19, the majority of Dimensional’s employees are currently working remotely. Firm leadership evaluates the situation on an ongoing basis as to when employees could return to our corporate offices.

It is the policy of the Company to provide equal employment opportunity for all applicants and employees. The Company does not unlawfully discriminate on the basis of race, color, religion, creed, sex, gender, gender identity, gender expression, national origin, age, disability, genetic information, ancestry, medical condition, marital status, covered veteran status, citizenship status, sexual orientation, or any other protected status. This policy applies to all areas of employment including recruitment, hiring, training, job assignment, promotion, compensation, benefits, transfer, discipline, termination, and social and recreational programs.

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 Job Description:

Based in Austin or Charlotte, the Compliance Analyst will play an important role in executing business compliance matters by providing evaluation, development, maintenance, testing, and monitoring of regulatory compliance programs and related client reporting. This position works closely with Compliance, Risk, and Legal colleagues, and business representatives across the firm including the Global Client Group.  

Responsibilities:

  • Perform annual global Compliance program review with team in accordance with SEC Rules 38a-1 and206(4)-7, Canada NI 31-103, and global equivalents for Chief Compliance Officer review and presentation to Boards and senior management.

  • Manage Compliance oversight of variety of client reporting, elevating appropriate items to Chief Compliance Officer

  • Develop process improvements in the client reporting processes

  • Identify, assess and respond to risks associated with producing and providing oversight of sub-advised client Board materials and/or client reports and requests (from separate accounts, ETFs and Mutual Fund shareholders, etc.) and support day-to-day activities.

  • Coordinate client reporting and review from Compliance perspective in accordance with client contractual obligations

  • Prepare sub-advisory 15(c) reviews for contract renewals and certification process for Chief Compliance Officer sign-off

  • Create, update, and respond to RFP/DDQ requests signed by Chief Compliance Officer; accuracy critical

  • Write/develop SQL scripts to automate production of legal and regulatory client materials

  • Coordinate document production for global regulatory requests, exams, and audits

  • Maintain and provide recommendations for firm policies and procedures 

  • Support the Compliance staff on various projects, initiatives, and responsibilities

  • Timely completion of projects and initiatives

  • Ability to service requests from multiple levels of the organization

Qualifications:

  • Minimum two years compliance or audit\testing experience, or three years securities related experience

  • Bachelor’s degree or equivalent experience

  • FINRA Series 7 a plus

  • Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA Rules and other federal regulations or global equivalents

  • Team oriented – ability to apply analytical and decision-making skills in a collaborative environment

  • Familiarity with financial products such as mutual funds, ETFs, separate accounts, retirement and 529 plans

  • Strong analytical and quantitative problem-solving skills

  • Self-starter with the ability to work well in a fast-paced environment and capable of managing multiple projects and meeting deadlines

  • Exceptional attention to details

  • Excellent communication and interpersonal skills

  • Knowledge of SQL a plus

  • Strong knowledge of Excel and general computer skills with the ability to learn additional computer applications as needed

To ensure the safety and wellbeing of our employees during COVID-19, the majority of Dimensional’s employees are currently working remotely. Firm leadership evaluates the situation on an ongoing basis as to when employees could return to our corporate offices.

It is the policy of the Company to provide equal employment opportunity for all applicants and employees. The Company does not unlawfully discriminate on the basis of race, color, religion, creed, sex, gender, gender identity, gender expression, national origin, age, disability, genetic information, ancestry, medical condition, marital status, covered veteran status, citizenship status, sexual orientation, or any other protected status. This policy applies to all areas of employment including recruitment, hiring, training, job assignment, promotion, compensation, benefits, transfer, discipline, termination, and social and recreational programs.

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SUMMARY

The Deputy Managing Director, Debt Conversions oversees the execution of The Nature Conservancy’s Debt Conversions strategy and portfolio, with accountability for originating and closing 20 debt conversions for marine protection by 2024. They will manage numerous projects across relevant geographies in coordination with Global Strategy and Regional Leadership colleagues, and oversee a team of at least four, including two other deal leads, a senior project coordinator and a conservation trust fund specialist.

 ABOUT US

The Nature Conservancy is the leading conservation organization working to make a positive impact around the world in more than 30 countries, all 50 United States, and your backyard. Founded in 1951, the mission of The Nature Conservancy is to conserve the lands and waters on which all life depends. One of our core values is our commitment to diversity. Therefore, we are committed to a globally diverse and culturally competent workforce.  Visit www.nature.org/aboutus to learn more.

NatureVest is the impact investment unit of The Nature Conservancy. NatureVest’s mission is to create and transact investable deals that deliver conservation results and financial returns for investors. Our vision is based on the conviction that capital markets, businesses and governments must invest in nature as the long-term capital stock of a sustainable, equitable and more efficient economy.

ESSENTIAL FUNCTIONS

The Deputy Managing Director, Debt Conversions will be responsible for leading a team to identify and close 20 new debt conversions for marine conservation by 2024, in support of TNC’s commitment to key donors made in 2019. This includes transaction sourcing and development; relationship development with key external partners on the Debt Conversions program including governments, financial institutions, insurance providers, commercial lenders and donors; financial analysis and modeling; capital structuring; credit enhancement mechanisms, and risk assessment and mitigation. The Deputy Managing Director, Debt Conversions will lead the implementation of originating and advancing transactions, managing a portfolio of opportunities, and ensuring the achievement of key interim and final results. They will work closely with teams across TNC, including the Global Oceans team and both regional and in-country teams to source and diligence transaction opportunities and ensure delivery of conservation outcomes, and present transactions to the TNC Board for approval. The Deputy Managing Director, Debt Conversions will sit on the Debt Conversions Steering Committee and report to the Managing Director of NatureVest.

Location: Arlington, VA, New York, or other location with a major TNC office

This description is not designed to be a complete list of all duties and responsibilities required for this job.

 RESPONSIBILITIES & SCOPE

  • Designs, implements and directs complex and diverse projects, setting deadlines and ensuring program accountability.
  • Makes strategic decisions based on analysis, experience and judgment.          
  • Incorporates cross-disciplinary knowledge to support program objectives.
  • Leads team and manages the work of other professionals, inside and outside of the organization.
  • Oversees a team of deal leads and other staff supporting the debt transactions.
  • Holds fiscal accountability for a multi-million dollar budget.
  • Works with fundraisers and donors to source new support and manage ongoing donor relationships.
  • Significant latitude to deal directly with field management personnel and organizational leadership.
  • Makes independent strategic decisions, frequently involving ambiguous information, based on analysis, experience and judgment.
  • Leads high-level negotiations with country ministries, global financial institutions and development financial institutions.
  • Will require frequent domestic and international travel and evening and weekend hours; minimum of 40% travel expected.

MINIMUM QUALIFICATIONS

  • BA/BS degree and 15 years’ experience in a private sector environment, such as investment banking, or with a leading conservation organization or multilateral finance or government entity, or equivalent combination of education and experience.
  • Debt and structured finance experience including transaction structuring with blended capital. Experience in securing capital from investors such as investment banks, private wealth managers, public pension plans, endowment funds, private trusts and high-net worth individuals.
  • Experience designing, implementing, and directing complex or multiple projects of strategic importance, including managing a budget, supervising multidisciplinary professionals and coordinating the work of partners while meeting deadlines.
  • Experience developing business plans or major strategy assessments particularly with conservation forms of valuation, deal structuring, negotiations support, financial modeling and analysis.
  • Experience in a supervisory role managing at least two people

PREFERRED KNOWLEDGE, SKILLS & EXPERIENCE

  • B.A. or other advanced degree with significant course work in finance or economics highly preferred.
  • Strong team player who can build relationships and work collaboratively across the organization in an unstructured environment and with Conservancy partners.
  • Outstanding analytical and project management capabilities.
  • Superior written and oral communications.
  • Multi-cultural experience and skills in a language in addition to English a strong plus (e.g., Spanish, French, Portuguese)
  • The Nature Conservancy is committed to diversity and encourages candidates with diverse and nontraditional backgrounds to apply.

ORGANIZATIONAL COMPETENCIES

Accountability for Outcomes

Pushes for excellence.  Establishes challenging goals for self and others to drive performance in support of the Conservancy’s mission.  Rewards behavior that achieves these standards and is aligned with the organization’s mission/ values.  Takes action to address performance problems in a timely and appropriate manner.

Builds Organizational Capability

Builds or adapts organizational structures to accomplish the mission and to improve performance.  This includes reorganizing organizational systems, structures, processes, procedures, communication channels or reporting relationships.  With the Conservancy’s strategic filter in mind, determines who can contribute, gets the right people involved, and builds bench strength for the future.

Collaboration & Teamwork

Shows a willingness to put the needs and goals of a global organization before personal/local/departmental needs.  Works with others across organizational boundaries. Makes decisions, sets priorities, and allocates resources to help the organization as a whole achieve results.

Communications

Effectively expresses messages verbally and in writing.  Actively listens to others.  Fosters open exchange of issues.  Is timely with information.

Courage & Decisiveness

Makes decisions and stands by them.  Makes timely decisions even under pressure and when lacking complete information. Has the courage to modify decisions and admit why and how they were wrong.

Flexible to changing circumstances. Takes innovative approaches towards work.  Takes calculated risks and makes dependable decisions in the face of uncertainty.

Influences for Results

Achieves results by persuading, convincing, or influencing others. Adapts approach to the individual or group and knows how and when to use complex influence strategies. Uses success stories and passion for the mission to generate enthusiasm and support.

Open to Learning

Versatile learner and committed to self-improvement.  Employs strengths effectively.  Willingly shares knowledge with others.  Seeks coaching on areas needing improvement.  Adjusts behavior/performance as needed.  Views mistakes as learning opportunities.

Organizational Awareness

Understands the basics of our business.  Knows how local job relates to the big picture & contributes to the overall strategy.  Knows how/why things work inside TNC.  Easily moves through internal networks and channels for success.

HOW TO APPLY

To apply, please visit our website at https://www.nature.org/en-us/about-us/careers/ and search for the position number 49052. Please submit resume (required) and cover letter separately using the upload buttons. Applications will be reviewed in the order they’re received and the position will remain open until filled.

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