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Compliance Analyst

Company name
Dodge & Cox
Location
San Francisco, CA
Salary
Market Rate

Note: Both a cover letter and resume/CV are required for consideration.

 

Dodge & Cox is seeking an experienced Investment Adviser/Investment Company compliance professional. The Compliance Analyst will assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO) of Dodge & Cox and the Dodge & Cox Funds. The successful candidate will coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues.

Primary Responsibilities

  • Assist in the implementation and maintenance of the Compliance System
  • Monitor compliance with client investment guidelines and restrictions including:
    • ensuring proper restriction coding in our order management systems
    • testing new and existing investment restrictions
    • ensuring timely and accurate implementation of applicable investment guideline updates
  • Review all new investments to identify any environmental, social or governance (ESG) issues or restrictions
  • Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues

Qualifications:

Dodge & Cox seeks candidates with high levels of academic and professional achievement and leadership ability.

  • Four year college degree (B.A. or B.S.) with an excellent academic record
  • 1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience
  • Experience coding investment guidelines and restrictions and performing post trade compliance monitoring required 
  • Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
  • Detail oriented with effective follow-up skills
  • The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines
  • Knowledge of trade order management and compliance systems (Latent Zero, Charles River, Eze, etc.) preferred
  • The ability to work independently on assigned responsibilities, as well as to accept direction on assignments
  • Willingness to assist in performing other compliance-related analytical tasks
  • The ability to work effectively as part of a team and foster the strong culture of compliance
  • Experience/knowledge of fixed income asset classes, security type and derivatives.
  • Candidates with CFA or MBA are highly desirable

The job description above is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. It is the Company’s policy to provide equal opportunity to all persons without regard to race, color, religion, sex, pregnancy, marital or domestic partner status, sexual orientation, gender identity or expression, age, ancestry, national origin, disability, or medical condition, as defined in state and federal laws.  This policy covers all aspects of employment including, but not limited to, recruitment, selection, training, promotion, transfer, compensation, demotion, and termination. By applying for a position with Dodge & Cox, you acknowledge that you have read our EEO Policy

All Dodge & Cox employees must adhere to the Firm’s security policies and Code of Ethics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Term
Full Time
Deadline
June 30th 2020
Contact name
n/a
Contact email
n/a