Geode Capital Management
Director, Investment Compliance
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Geode Capital Management is a global systematic investment manager.
The Role
Geode Capital Management, LLC (“GCM”) is a global institutional asset manager providing core beta exposures across a range of equity and niche asset classes, including commodities and options, for registered funds, commingled pools and separately managed accounts. Geode currently manages over $1.5 trillion in AUM across the products it advises and sub-advises.
Geode is looking for a highly motivated Director, Investment Compliance to lead the firm’s investment compliance function, overseeing the portfolio monitoring systems, compliance coding and adherence to various regulatory requirements. This role will report to the Chief Compliance officer
The ideal candidate will possess a comprehensive understanding of investment compliance principles, a strong work ethic and high ethical standards. The Director, Investment Compliance will need to effectively collaborate with internal and external stakeholders, including clients, portfolio management and technology teams.
This role is based out of our office in Boston, Massachusetts and is required to follow the firm’s current hybrid work schedule: Tuesday, Wednesday and Thursday in-office, with the option to work Monday and Friday remote from home.
Primary Responsibilities:
- Oversee a wide range of compliance tasks, including the interpretation of guidelines, compliance coding processes, and regulatory adherence to various standards including the Investment Company Act, UCITS Directives, and National Instruments 81-102
- Manage daily investment compliance monitoring on a pre-trade and post-trade basis for registered funds, pooled investment vehicles and separately managed accounts
- Identify and execute on key initiatives to improve compliance workflows through technology-driven solutions
- Collaborate with internal teams to effectively communicate requirements from a business perspective, as necessary
- Lead compliance discussions with portfolio management, trading and investment operations to provide insight and perspective on compliance related matters
- Oversee the accurate coding of rules into compliance systems based on regulatory statues and client guidelines
- Manage the testing of new client accounts and investment restrictions in UAT environments, documenting test cases to ensure coding accuracy in compliance systems
- Conduct integrity checks within compliance systems, collaborating with various stakeholders to address gaps in data and/or monitoring standards
- Manage trade error investigation, documentation and resolution process with applicable business units. Prepare detailed incident reports for senior management and client reporting
Skills You Bring:
- 10+ years of experience in investment compliance
- Bachelor’s degree (or above) in a relevant field
- Experience with overseeing compliance monitoring systems (CRD preferred) and demonstrated knowledge of trade order management workflows
- Ability to understand and execute on complex regulatory concepts while providing clear communication and guidance to senior members of the firm and external clients
- Strong proficiency in coding compliance systems, with a keen focus on attention to detail are essential
- Excellent communication skills, both written and verbal with an ability to effectively interact and influence at all levels
- Strong relationship building, organization, and critical thinking skills are crucial for success in this role
- Ability to manage high volume of work within tight deadlines, ensuring accuracy and minimizing risk through effective task prioritization
- Dedicated to collaborating in a fully inclusive manner
More About Geode:
Founded in 2001, Geode is headquartered in Boston’s financial district, the center of one of the world’s most vibrant finance and technology hubs and employs approximately 180 employees. With a robust infrastructure and experienced investment professionals, Geode offers the scale of a large asset management firm with the benefits of a smaller organization.
Geode is proud to be an equal opportunity employer, and we recognize the value that employees' individual differences can bring to the workplace. Learn more about Geode at www.geodecapital.com/careers.
Geode Capital Management Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Geode Capital Management and has not been reviewed or approved by Geode Capital Management.
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Retirement Support — 401(k) matching combined with annual profit‑sharing contributions is part of the core package. This pairing goes beyond a simple match and strengthens long‑term savings potential.
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Parental & Family Support — Paid family and parental leave with adoption and surrogacy assistance signals robust caregiver support. Family‑care assistance and related supports are highlighted across company materials.
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Healthcare Strength — Medical, dental, and vision coverage with HSA and FSA options anchors the health offering. Fitness reimbursement and supplemental life/AD&D/STD/LTD broaden protection and wellness support.
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The Company
What We Do
Founded in 2001, Geode is headquartered in Boston’s financial district, the center of one of the world’s most vibrant finance and technology hubs and employs approximately 180 employees. Geode is a systematic asset manager providing core beta exposures across a range of equity and niche asset classes, with over $1 trillion in AUM. With a robust infrastructure and experienced investment professionals, Geode offers the scale of a large asset management firm with the benefits of a smaller organization. Geode is proud to be an equal opportunity employer and support a diversified work environment.
Why Work With Us
Geode enhances the employee experience with a culture of engagement, wellness, diversity, equity and inclusion.
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