Investment Operations & Compliance Manager

Posted: January 15, 2025
Location: San Diego, California

Counterpoint Funds is a leading quantitative and AI-driven mutual fund and ETF provider, specializing in diversifier strategies that aim to enhance portfolio performance over the long run.

We’re a fast-growing fund advisor seeking a seasoned Investment Operations & Compliance Manager to join our team in San Diego. This is a high-impact role with significant interaction across senior leadership, internal teams, and external stakeholders.

This is an opportunity to play a pivotal role in shaping operational excellence and compliance for a growing fund advisor. If you’re detail-oriented, proactive, and passionate about financial operations, we’d love to hear from you. Apply today and help us shape the future of data-driven investing.

What You'll Do:

Lead compliance processes and regulatory reporting (SEC, state), including 15C, GIPS compliance, derivatives program management, ISDA/control agreements, and counterparty system oversight.
Manage client due diligence for broker-dealers, institutional accounts, private/public funds, and large advisory clients.
Oversee HR and finance operations: payroll, benefits, expense reimbursement, accounting, budgeting, tax, and state registration.
Handle vendor management, contract negotiations, and insurance procurement.
Support investment operations: execution processes, collateral management, and coordination with the investment team on counterparty agreements.

What We're Looking For:

Must-have: 7-10 years of experience with SEC compliance for 1940 Act or private funds.
Preferred: Law degree, accounting credential and/or equivalent experience
Technical proficiency in SQL/relational databases, QuickBooks, and Microsoft Office.
Strong organizational skills and ability to thrive in a dynamic, fast-paced environment

Location:

The position is based out of Counterpoint’s headquarters in San Diego, CA; the majority of job responsibilities and duties must be met working in-person from the office.

Apply Now

First Name:

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Years of Investment Fund Experience:

Years of Investment Fund SEC Compliance Experience:

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Are you authorized to work in the United States?

Will you now, or in the future, require sponsorship for employment visa status (e.g. H-1B visa status)?

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Mutual Funds involve risk including the possible loss of principal. Investors should carefully consider the investment objectives, risks, charges and expenses of the funds managed by Counterpoint Funds. This and other important information about the funds is available in their prospectuses, which can be obtained at counterpointfunds.com or by calling 844-273-8637. The prospectuses should be read carefully before investing. The Counterpoint Funds fund family is distributed by Northern Lights Distributors, LLC member FINRA/SIPC. To reach the Counterpoint sales team, please refer to our contact page.

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