Senior Manager, Compliance

Background

About Mission Driven Finance

Learn more about us, our “why,” and our opportunities on our jobs page.

Mission Driven Finance uses finance as a tool for change. We’re all about mobilizing capital that will increase inclusive and equitable access to education, health, and wealth and there are a lot of awesome things happening to achieve our mission. As our fully remote/distributed team continues to rapidly expand, we’re always looking for ways (and people!) to help us stay on track.  

Summary

Who should apply

We are seeking a dynamic and engaging Compliance Professional to join our Legal and Compliance team.  You are a resourceful, hyper-organized professional who can work within a wide breadth of systems and tasks that keep our compliance processes running smoothly. You love playing the supportive role, anticipating the needs of the team, and have no problem nudging others to get things done effectively and efficiently. You are excited to tackle novel legal issues, are entrepreneurial, and seek to join a team making a big impact in a highly regulated environment. Learning new and knotty areas of law is one of your favorite hobbies, and building opportunities is our’s, so we welcome candidates looking for entry into a career in impact investing. 

This position is remote. Our team is distributed across the “U.S.” and works remotely.

Responsibilities

Primary responsibilities

You will be a key contributor to the team responsible for establishing compliance standards for all Mission Driven Finance-managed entities and assist the Chief Legal Officer in developing, maintaining and coordinating Mission Driven Finance’s compliance programs. Specifically, you will:

• Conduct compliance activities required of an SEC-regulated investment adviser and California Finance Lender, among others, including:
  • Annual filings
  • Monitoring and reviewing conflicts of interest
  • Reviewing marketing materials
• Serve as the subject matter expert on a variety of specific compliance topics
• Prepare and communicate internal compliance updates
• Support the regular distribution and review of compliance policies and procedures
• Serve as compliance staff on various governance committees and working groups, including the Compliance Committee
• Interact cross-functionally within the company to provide compliance support
• Assist the Investment Management team in building and managing a process to oversee compliance with investor covenants and requirements 
• Active participation in industry forums, conferences, and networking events to stay abreast of emerging trends, best practices, and market dynamics.
• Mentor junior employees

Requirements

Desired values, qualifications & skills

An ideal candidate will value: 

• Our mission to build a better financial system
• Developing solutions from a team perspective
• Ability to take initiative and work semi-independently
• Balancing work quality with efficiency and productivity 
• Our culture of humor, flexibility, and resilience

And have a background and skills that include:

• 6+ years of direct experience in a compliance manager role; OR
  • 8+ years of compliance or similar legal or legal support experience; OR
  • Bachelor’s degree and 4+ years of compliance or similar legal or legal support experience; OR
  • JD degree and 2+ years of compliance experience
• Proficiency in identifying strategic opportunities and aligning efforts with overarching organizational objectives. 
• Experience in guiding team members through challenges, providing mentorship, and promoting professional development. 
• Excellent attention to detail, document review, and proofreading skills
• Excellent planning, organizational, and time management skills

• Excellent verbal and written communication skills with the ability to communicate effectively with a high level of professionalism to both internal and external audiences

• Adaptable and responsive in an evolving startup environment with competing priorities and deadlines

• Strong comfort with and demonstrated ability to learn technology tools, such as Google Workspace, Microsoft Suite, project management systems (Asana), and communication systems (Slack)

Preference for candidates that also have one or more of the following:

• Specific experience with working knowledge of Registered Investment Adviser compliance programs, commercial lending compliance programs, or investor compliance monitoring.
• Exposure to, or deep interest in, (impact) investing; this might include experience working directly with nonprofits, social enterprises, philanthropic endeavors, or investment firms 
• Fluency in another language beyond English

• Lived experience in our target investment communities, such as communities of color, Native or Indigenous, New American, veteran, low-to-moderate income, or other overlooked and underestimated populations

Research shows that while men may apply for roles when they meet about 60% of the criteria, individuals from marginalized groups often hold back unless they fulfill every listed requirement. 

If you believe you could excel in this role but your resume may not accurately reflect how you are qualified per the qualifications above, we wholeheartedly encourage you to apply. In your application, please also submit a cover letter, share what interests you about this role, how you may be qualified in other non-listed or non-traditional ways, and how you envision making a difference. 

We’re all about embracing diversity and considering a wide range of candidates and ways that someone is qualified. Whether you’re new to using your skills in this area, returning after a break, looking to make a transition, or ready to take your career to the next level, we’d love to hear from you. Your unique experiences and perspectives are valuable to us. We can’t wait to explore the possibilities together. 

Compensation and Benefits

This is a Manager level role with an annual salary range of $75,000 – $110,000 per year, plus company incentives, based on your unique skills and experience. 

This position includes company standard benefits:

• Unlimited paid vacation time along with 15 paid holidays
• Remote and flexible work schedule and environment
• 401k retirement plan with 4% employer match
• Monthly stipend for work-from-home expenses
• Access to health/dental/vision plan

• Participation in company incentive program(s)

• Up to $500 annually towards professional development

We recognize that compensation is an important aspect of your decision to apply, and we strive to offer competitive salaries that reflect the skills, experience, and value each team member brings to our organization.

It’s important to note that starting salaries for most candidates will fall at or below the 50th percentile of the above salary band. However, starting salaries will be determined based on factors such as qualifications, experience, and internal equity considerations.

We are committed to fostering a transparent and equitable compensation structure and welcome discussions regarding salary expectations with our HR / Recruitment team during the interview process.

How to Apply

Equal opportunity employer 

Mission Driven Finance is an equal opportunity employer. We encourage all qualified candidates, regardless of race, ethnicity, religion, national origin, age, sex, disability, veteran status, or gender identity to apply for this position. We welcome smart people with non-linear/non-traditional experience and educational backgrounds to join our team. Should a candidate be offered the position, they will need to show documentation of the ability to work in the U.S. including completing an I-9. We are unable to offer work visas at this time.

To apply

If you think you can help us build a better world please apply, here, as soon as possible; the position may close at any time! Candidates only and no phone inquiries, please.