Dodge & Cox is seeking an experienced Investment Adviser/Investment Company compliance professional. The Investment Compliance Analyst will assist in the implementation and maintenance of the system used to monitor client investment guidelines and restrictions and will report directly to the Head of Investment Compliance. The successful candidate will coordinate with various departments including Portfolio Managers, Traders, Portfolio Implementation, Client Service, Operations, Technology, and Legal personnel to communicate and resolve investment guideline compliance-related issues.

Primary Responsibilities:

• Assist in the implementation and maintenance of the investment compliance system
• Monitor compliance with client investment guidelines and restrictions including:
• Ensuring proper restriction coding in our investment compliance system
• Testing new and existing investment restrictions
• Ensuring timely and accurate review and implementation of applicable investment guideline updates
• Reviewing and updating new and revised restricted lists
• Review new investments against a screening database to identify potential environmental, social or governance (ESG) issues for purposes of applying client social guideline restrictions
• Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Portfolio Implementation, Client Service, Operations, Technology, and Legal personnel to communicate and resolve investment guideline compliance issues

Qualifications:

Dodge & Cox seeks candidates with high levels of academic and professional achievement and leadership ability.

• Four year college degree (B.A. or B.S.) with an excellent academic record
• 1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience
• Experience coding investment guidelines and restrictions and performing pre and post trade compliance monitoring highly desirable
• Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
• Detail oriented with effective follow-up skills
• The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines
• Knowledge of trade order management and compliance systems (Charles River, EZE, etc.) preferred
• The ability to work independently on assigned responsibilities, as well as to accept direction on assignments
• Willingness to assist in performing other compliance-related analytical tasks
• Ability to work effectively as part of a team and foster the strong culture of compliance
• Experience/knowledge of equity and fixed income asset classes, security types; common derivatives preferred

Requirements:

• Dodge & Cox has a 3/2 hybrid work model, and all Dodge & Cox employees are required to be in their assigned office as noted in the job posting Tuesday - Thursday each week, with the option to work remotely on Monday and Friday.