Start date: Immediate
Background on Galvanize Climate Solutions:
Galvanize Climate Solutions (“Galvanize” or “Firm”) is a mission driven investment platform that provides capital, expertise, and partnerships necessary to produce and scale vital and urgent climate solutions. We are purpose-built to accelerate decarbonization by integrating climate-focused investment with global activism. Founded by Katie Hall and Tom Steyer, Galvanize has significant experience across asset classes with decades of experience in investing and climate advocacy.
Key Responsibilities Include:
The Compliance Associate is a full-time exempt position within the Firm’s Legal and Compliance team. This opportunity will be of particular interest to an individual who has experience with U.S. Securities and Exchange Commission (SEC) Investment Advisers Act compliance and is interested in joining a mission driven climate-focused investments platform.
The responsibilities of the Compliance Associate will revolve around two primary types of work:
1. SEC Compliance:
- Analyze and interpret relevant Investment Adviser’s Act regulations in concert with the General Counsel, Senior Counsel, and Chief Compliance Officer (CCO).
- Assist the Firm with the administration of its Code of Ethics and Compliance Manual.
- Manage the Firm’s online compliance software system with oversight from the CCO.
- Manage the Firm’s quarterly compliance certification process.
- Assist with compliance onboarding of new employees.
- Maintain the Firm’s annual compliance calendar.
- Help review the Firm’s marketing materials.
- Assist the CCO in maintaining the Firm’s restricted list and conflicts register.
2. General Compliance
- Assist the CCO in Advising the Firm’s clients in connection with operational compliance obligations and other regulatory requirements.
- Help manage regulatory filings and administrative reports.
- Update and improve the Firm’s policies, procedures, and internal controls. Adjust for regulatory developments and business growth.
- Handle internal corporate governance deliverables such as meeting minutes and board resolutions.
- Work with the Firm’s Head of IT to update and test the Firm’s data protection, privacy policies, and information risk management.
- Formulate and track compliance metrics around valuation, allocation, investment guidelines and ESG.
- Work with investor partnerships to create and improve operational due diligence materials and other various requests that touch on the Firm’s compliance framework and program.
- Support the London based compliance monitoring program.
- Bachelor’s degree from a US or UK university.
- 2-5 years of experience at an asset/investment management company or SEC compliance consulting firm.
- Experience with compliance programs, policies, and procedures for an SEC- regulated investment adviser.
- Familiarity with one or more of private equity, real estate, and public equity funds and services is a plus.
Additional Personal Characteristics Required For Success In This Role:
- Ownership and pride in what you do
- Understanding of how to work against tight deadlines with urgency while managing multiple projects.
- Intense attention to detail.
- Constant curiosity and an eagerness to learn.
The Compliance Associate will report to the CCO and collaborate with numerous teams across the organization including Finance, Investor Partnerships, and Impact.
What We Offer
- Generous benefits package, including employer-paid health coverage options, and a 401(k) plan with employer match.
- 25 days of paid time off including sick leave.
- Monthly wellness benefit that covers a broad range of activities
- Annual learning and development stipend.
- A collaborative and inclusive culture that is committed to recruiting, retaining, engaging, and developing a pool of talent that is diverse across all dimensions.
Base Salary Pay Band: $140,000 to $160,000
More About Galvanize
As a recently launched investment platform, we are committed to recruiting, engaging, and retaining talent that is diverse across all dimensions. We will apply our team’s different experiences, backgrounds, and viewpoints to drive better decision making in advance of scaling vital and urgent climate solutions. Consideration of the equitable distribution of global climate transition impacts and benefits will be a core tenet of our decision-making and organization. This consideration guides Galvanize’s culture, structure, investment strategy, and advocacy efforts. Galvanize is committed to building a broadly diverse organization from its ownership to
Galvanize is an equal opportunity employer. We continually seek diversity in our staff and will consider all qualified applicants with a criminal history in a manner consistent with the requirements of the Fair Chance Ordinance of San Francisco.
We do not provide relocation. Preference will be given to candidates who already have housing lined up near our SF or NY office.