Trillium Asset Management LLC
Chief Compliance Officer
Trillium Asset Management LLC - Boston
Work at Trillium Asset Management LLC
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Overview
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CEO and Head of Legal, Risk and Compliance US, Perpetual Ltd. Trillium Asset Management is a mission-driven, values-based investment services company exclusively focused on offering our clients investment strategies and services that advance humankind towards a global sustainable economy, a just society, and a better world. The firm has been at the forefront of ESG thought leadership and draws from decades of experience focused exclusively on responsible investing. Trillium is an independently operated investment boutique wholly owned by Australian based Perpetual Limited. Job Summary : The Chief Compliance Officer (CCO) is responsible for overseeing and managing the firm’s compliance program to ensure that the firm conforms to its outside regulatory and legal requirements, to internal policies and procedures, and to ethical standards. The CCO, while reporting to both Trillium and Perpetual, carries a superseding responsibility to Trillium’s compliance commitments and risk management. The CCO holds primary responsibility for all regulatory matters and regularly interacts with affiliates, clients, and auditors. The CCO will additionally serve as an active, contributing member of the senior leadership team providing guidance, collaboration, and support to the implementation process for key firm strategies and initiatives and as a people manager of the Compliance department. Duties / Responsibilities : Overall responsibility for the design, implementation, and effectiveness of the firm’s compliance program including policies, procedures, and training programs Manage periodic and annual reviews and risk assessments of the firm’s compliance policies and procedures. Implement the firm’s risk management framework and conduct regular risk assessments to identify and mitigate potential risks Lead, build, and maintain a high-caliber compliance team Serve as the primary contact with regulatory authorities Manage required regulatory filings and reporting (e.g., Form ADV, Section 13 filings) Serve as the primary regulatory contact and coordinate and respond to regulatory examinations and inquiries Responsible for ongoing review and enhancement of regulatory, industry best practices and trends to proactively update the firm’s compliance program as needed Business partner providing guidance and advice to firm personnel on compliance-related matters Work collaboratively with global compliance colleagues Perform other related duties to benefit the mission of the organization and the parent company Analysis of business initiatives including new products, new types of clients, and new markets Qualifications, Skills, Abilities : Proven experience in a senior compliance role, with a track record of managing compliance programs (required) Strong knowledge of U.S. securities laws and familiarity with ESG frameworks including international ESG regulations and various other international regulations, such as MIFID II and UCITS (preferred) Knowledge and expertise of regulatory requirements and compliance standards Policy development and implementation Excellent analytical and problem-solving skills Strong leadership and management abilities High ethical standards and integrity Strong communication and interpersonal skills Collaborative mindset and ability to build productive relationships across the organization Compensation : Trillium Asset Management LLC provides a generous compensation package that includes 401(k), profit sharing plan, group life, long-term disability, health, dental and vision insurance benefits, paid time off and performance-based bonus program. We will only consider applications with an attached professional resume and cover letter. Among Trillium’s core values is a deep commitment to Justice, Equity, Diversity, and Inclusion (JEDI). We seek to reflect these values in everything we do : From how we build investment strategies and engage companies, to how we serve our clients, and how we work with each other and conduct the day-to-day business of running a financial services firm. Since our founding over 40 years ago, Trillium has sought to build teams across our organization that represent a wide spectrum of lived experiences. Trillium provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, marital status, amnesty, or status as a covered veteran in accordance with applicable federal, state and local laws.
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CEO and Head of Legal, Risk and Compliance US, Perpetual Ltd. Trillium Asset Management is a mission-driven, values-based investment services company exclusively focused on offering our clients investment strategies and services that advance humankind towards a global sustainable economy, a just society, and a better world. The firm has been at the forefront of ESG thought leadership and draws from decades of experience focused exclusively on responsible investing. Trillium is an independently operated investment boutique wholly owned by Australian based Perpetual Limited. Job Summary : The Chief Compliance Officer (CCO) is responsible for overseeing and managing the firm’s compliance program to ensure that the firm conforms to its outside regulatory and legal requirements, to internal policies and procedures, and to ethical standards. The CCO, while reporting to both Trillium and Perpetual, carries a superseding responsibility to Trillium’s compliance commitments and risk management. The CCO holds primary responsibility for all regulatory matters and regularly interacts with affiliates, clients, and auditors. The CCO will additionally serve as an active, contributing member of the senior leadership team providing guidance, collaboration, and support to the implementation process for key firm strategies and initiatives and as a people manager of the Compliance department. Duties / Responsibilities : Overall responsibility for the design, implementation, and effectiveness of the firm’s compliance program including policies, procedures, and training programs Manage periodic and annual reviews and risk assessments of the firm’s compliance policies and procedures. Implement the firm’s risk management framework and conduct regular risk assessments to identify and mitigate potential risks Lead, build, and maintain a high-caliber compliance team Serve as the primary contact with regulatory authorities Manage required regulatory filings and reporting (e.g., Form ADV, Section 13 filings) Serve as the primary regulatory contact and coordinate and respond to regulatory examinations and inquiries Responsible for ongoing review and enhancement of regulatory, industry best practices and trends to proactively update the firm’s compliance program as needed Business partner providing guidance and advice to firm personnel on compliance-related matters Work collaboratively with global compliance colleagues Perform other related duties to benefit the mission of the organization and the parent company Analysis of business initiatives including new products, new types of clients, and new markets Qualifications, Skills, Abilities : Proven experience in a senior compliance role, with a track record of managing compliance programs (required) Strong knowledge of U.S. securities laws and familiarity with ESG frameworks including international ESG regulations and various other international regulations, such as MIFID II and UCITS (preferred) Knowledge and expertise of regulatory requirements and compliance standards Policy development and implementation Excellent analytical and problem-solving skills Strong leadership and management abilities High ethical standards and integrity Strong communication and interpersonal skills Collaborative mindset and ability to build productive relationships across the organization Compensation : Trillium Asset Management LLC provides a generous compensation package that includes 401(k), profit sharing plan, group life, long-term disability, health, dental and vision insurance benefits, paid time off and performance-based bonus program. We will only consider applications with an attached professional resume and cover letter. Among Trillium’s core values is a deep commitment to Justice, Equity, Diversity, and Inclusion (JEDI). We seek to reflect these values in everything we do : From how we build investment strategies and engage companies, to how we serve our clients, and how we work with each other and conduct the day-to-day business of running a financial services firm. Since our founding over 40 years ago, Trillium has sought to build teams across our organization that represent a wide spectrum of lived experiences. Trillium provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, marital status, amnesty, or status as a covered veteran in accordance with applicable federal, state and local laws.
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