Senior Corporate Compliance Officer

Icma Rc
Washington, DC
Apr 18, 2017
Apr 21, 2017
Accountant, IT
Full Time
Requisition Number COMP140031 Post Date 3/21/2017 Title Senior Corporate Compliance Officer City Washington State DC Description Reach Your Peak with ICMA-RC, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. Headquartered in Washington, DC, our Financial Services corporation manages over $50 billion in retirement plan assets for more than one million participant accounts. We are constantly looking for ways to create new opportunities to serve our participants. We have an extraordinary talent base and invite you to consider joining our Compliance team.This position is responsible for ensuring that ICMA-RCs regulated entities (primarily The Vantagepoint Funds, Vantagepoint Investment Advisers, LLC, Vantagepoint Transfer Agent, VantageTrust, LLC and ICMA-RC Services) operate in compliance with applicable securities laws, rules and regulations of self-regulatory agencies and internal policies and procedures of ICMA-RC. Overall responsibility will include the development, maintenance, oversight, testing and reporting for various boards and senior management of the compliance policy and procedural framework. The position reports to the Senior Vice President, Chief Compliance Officer.Essential functions for this role include:a€ cents Develop, implement, monitor and report on internal compliance systems and processes designed to ensure compliance with applicable securities laws and rules of self-regulatory agenciesa€ cents Conduct compliance reviews in regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures; provide written reports of findingsa€ cents Maintain and update as necessary internal Compliance Division policies and proceduresa€ cents In consultation with the SVP, develop and recommend workable action plans for correcting material weaknesses identified in compliance policies and proceduresa€ cents Keep abreast of changes and new developments in the financial services industry and the impacts these changes have on compliance policies and proceduresa€ cents Work with business units to develop compliance policies and procedures for new initiatives that are reasonably designed to prevent, detect and correct violations of Federal Securities Lawsa€ cents Identify opportunities to conduct forensic testing where possible and use automation to increase the efficiency and effectiveness of compliance reviews Requirements If you have the following credentials, we encourage you to apply:a€ cents BA /BS degree or equivalent work-related experiencea€ cents 7-10 years of prior work experience in internal audit or compliance with investment company and investment adviser is required. Will consider prior internal audit experience with a broker dealer or other Financial Services Industries. Knowledge and experience with Federal and State securities laws and rules and regulations of self-regulatory organizations; knowledge of internal audit techniquesa€ cents 3-5 years of supervisory/management experiencea€ cents Detailed knowledge of Federal Securities Laws governing mutual funds and investment advisersResults oriented with the ability to work independently and make sound decisions on the basis of available informationCapable of working effectively with all levels of staff and develop collaborative relationshipsExcellent written and oral communications skillsa€ cents Knowledge of internal audit techniquesa€ cents Ability to interact effectively with external a€œclientsa€ including regulatory authorities, vendors and othersa€ cents Strong computer skills set and ability to work with multiple applicationsa€ cents Knowledge of rules of self-regulatory agencies governing broker/dealers, preferreda€ cents Ability to participate in automation of certain compliance division activities, preferreda€ cents Internal Audit or Compliance certifications or FINRA licenses, preferredFor your well-being, we offer a solid compensation and benefits package that features a competitive salary, a straight-forward incentive plan that rewards results, and a 401(k) Plan. For your career, we offer tuition reimbursement, professional development courses, seminars, career enrichment assignments, mentoring programs and a record of enterprise growth that creates continuing opportunities for career advancement. Consider ICMA-RC, and respond in strictest confidence. ICMA-RC is an Equal Opportunity Employer that values diversity in the workplace. Minorities and women are encouraged to apply. We look forward to hearing from you. .

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