Investment Compliance Manager

Boston Trust Walden N.A. Overview

Boston Trust Walden National Association is an independent, employee-owned organization that provides investment management services to institutional investors and private wealth clients. The organization manages approximately $16 billion in client assets.

Boston Trust Walden distinguishes itself in several key ways, including:

• stable, diversified business model serving a variety of client types;
• compelling investment philosophy and excellent track record;
• longstanding leadership in ESG impact investing; and
• corporate culture grounded in shared values, as signified by the organization’s tagline, Principled Investing.

Located in the heart of downtown Boston at One Beacon, Boston Trust Walden employs approximately 100 individuals. Our structure as an independent, employee-owned organization enables us to make business decisions that align with clients and employees for long-term success. The organization’s structure and size help cultivate a collegial work environment where employees have ownership of their work, contribute to positive client outcomes, and are rewarded for their efforts.

One of Boston Trust Walden’s strategic priorities is to foster a positive workplace, including a commitment to representation, inclusion, belonging, and excellence. The organization believes this commitment is not only the right thing to do but also a matter of good governance and a critical component of long-term business success. When positive workplace values are infused into the workplace environment, the organization and its employees benefit.

We embrace diverse perspectives, backgrounds, and skillsets.

Boston Trust Walden National Association is an Equal Opportunity Employer. We are committed to supporting equal employment opportunity and to promoting a workplace free of discrimination with regard to race, color, religious creed, national origin, genetic information, ancestry, sex, age, sexual orientation, gender identity, gender expression, physical or mental disability, parental status, marital status, veteran/US military status, pregnancy, citizenship status, or other legally protected status.

The organization will make reasonable accommodations in the application process if requested by new job applicants.

Boston Trust Walden is seeking an Investment Compliance Manager to join the Risk and Compliance Department. This individual will play a key role in ensuring that investments are consistent with applicable rules, client mandates, and firm standards.

As the Investment Compliance Manager, you will understand the end-to-end context of client portfolio guidelines and rules, working with portfolio managers and client service administrators as appropriate. You will provide subject matter expertise on SEC-related guidance on compliance requirements for 40 Act registered investment advisers and investment companies. This position reports to the Director of Risk Management.

• Conduct daily review and monitoring of pre- and post-trade and portfolio compliance alerts with respect to regulatory and internal rules and restrictions across all accounts managed by Boston Trust Walden.
• Collaborate with investment managers and client service administrators to resolve alerts in a timely manner.
• Develop an understanding of investment management agreement objectives, guidelines, and styles to facilitate regular reviews and validation.
• Observe investment committee and securities research committee meetings to understand how portfolios are positioned and why.
• Ensure that identified errors or compliance exceptions to regulatory or policy requirements receive appropriate corrective action.
• Respond to audit, regulatory, and examination requests.
• Develop and provide training on compliance requirements.
• Maintain current procedures for key activities.
• Escalate issues as appropriate to key stakeholders.
• Other projects and duties as assigned.

• 8+ years of experience in investment management or financial services.
• Demonstrated experience monitoring investment guidelines, working in an investment compliance role, and understanding…