Green Alpha Advisors is an asset management firm located in Boulder County, Colorado. We serve individual clients, wealth advisors, family offices, and large institutions by investing assets in the public equities of innovative, scalable solutions to our greatest economic and environmental risks – climate change, resource degradation, widening inequality, and human disease burdens. By directing capital to solutions creators, we seek to help our clients catalyze and benefit from the emerging, highly efficient, sustainable Next EconomyTM.
Green Alpha is run by three entrepreneurial investment professionals who each have more than 20 years of investment industry experience. The Compliance & Operations Director will work closely with all three Executives, building infrastructure and managing the business to achieve Green Alpha’s growth goals. This position is a new one, being created to enable Green Alpha’s Chief Operating Officer to focus on institutional sales and marketing initiatives.
The Green Alpha team is excited about the opportunity to both teach the right candidate what they need to know to excel, and to also learn from and with the right candidate so we can all thrive and have fun exceeding our clients’ expectations. The successful candidate will be one driven by curiosity to learn more, test ideas, challenge prior assumptions, and build ways of implementing best practices as our client base continues to grow.
We need a team member with enough industry experience and training to understand that some aspects of traditional asset management work well, and that some aspects are meaningfully outdated and broken. Said another way, we need someone who knows enough about the box to understand when, why, and how to think outside the box.
Role: Compliance & Operations Director
Status: Full time
Location: Louisville, CO
- Take the lead on continuous evaluation and testing of Compliance Manual policies and procedures
- Recommend enhancements to Green Alpha’s compliance program to ensure we have the right answers in place before a potential institutional client asks a given question
- Update Green Alpha’s Compliance Manual and Code of Ethics, both existing sections and building out/writing new sections
- Be the lead person responding to all client, prospect, and business partner compliance questionnaires
- Review advertisements for compliance approval, with a partnership mentality of working together to achieve desired goals firm wide
- Assist the CCO with SEC filings
- Supervise work being executed by outsourced technology partner
- Be the go-to for technology questions and issues, and be the main communications conduit between Green Alpha employees and our outsourced technology partner
- Ensure that Green Alpha’s IT infrastructure is as secure and automated as possible, minimizing and eliminating opportunities for manual processes to drive compliance with cybersecurity and other policies
- Coordinate Human Resources activities with Executive Team members and oversee individual Executive Team member execution of HR initiatives
- Collaborate actively with Green Alpha’s Operations & Finance Manager on the firm’s investment account operations, including ensuring the integrity of portfolio accounting system management and opening/managing/closing account processes. The Operations & Finance Manager will the Compliance & Operations Director’s direct report, and the Compliance & Operations Director will report to the Chief Financial Officer/CCO
- Take the lead on continuous evaluation and enhancements of Operations Manual policies and procedures
- Work with the Chief Distribution & Marketing Officer/PM (currently the COO) and the Operations & Finance Manager to onboard new business, platforms, and relationships that we’ve won
Job Candidate Characteristics:
- Unabashedly curious – demonstrated through ongoing education and certifications, include industry-respected credentials
- Entrepreneurial – isn’t content simply to be handed tasks, wants to build better processes and procedures to proactively contribute to the firm’s success
- Problem solver – Presents possible solutions as challenges are uncovered and research options when solutions sets aren’t immediately clear
- Teacher – wants to not only learn new ideas and approaches, but is also motivated to teach others for the benefit of the team, firm, and clients
- Possess exacting attention to detail and precision
- Takes pride in being a team player – someone who desires to help in any way that maximizes benefits to clients and the firm
- Demonstrated commitment to achieving goals – both personal and for the good of the organization
- Comfortable and capable representing the organization externally with clients, prospects, service providers, and business partners
- Excellent computer skills: Excel and Word
- Working, practical knowledge of U.S. SEC Investment Advisers Act and Investment Company Act regulations and best practices that the company must operate within
- Familiarity with Human Resources best practices
- Experience with investment industry-specific applications, with preference for Advent APX and Moxy
- Proven capability to communicate the right details with team members in an open, fluid fashion
- Extremely organized and happy to help keep others organized following company-wide standards
Please email your cover letter and resume to firstname.lastname@example.org, and within your cover letter address how aspects of the job description fit your desires and goals, both short-term and long-term. Please do not call Green Alpha Advisors to express desire to apply or check on your application.