Regulatory Compliance Manager
- Full Time
Requisition Number FIN170012 Post Date 4/12/2017 Title Regulatory Compliance Manager 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 ICMA-RC's Finance team.This Compliance Manager has proven and extensive technical experience in the matters of regulatory and portfolio compliance, fund administration, and the 1940 Investment Company Act. The Compliance Manager is primarily responsible for portfolio compliance matters of The Vantagepoint Collective Trust Funds ("the Fund"), including development of well-documented tests and compliance controls and procedures, performance of periodic compliance monitoring, and ensuring prompt resolution of portfolio compliance issues. The Compliance Manager will also assist with regulatory reporting, foreign markets taxation requirements, and certain administrative processes for the Fund and department. The Compliance Manager works closely with internal departments (Legal, Investments, Compliance) and third-party fund administration and compliance personnel of JPMorgan Chase Bank to accomplish the essential functions of the position.Essential functions for this role include:* Manage and document all activities pertaining to daily and monthly portfolio compliance of the Fund. This includes monitoring and analyzing issues and areas of potential regulatory risks, understanding and resolving conflicts in data and reports, and promptly communicating with the appropriate parties within and outside of the organization* Participate in the compliance reviews of the Fund' investment guidelines. Develop and review comprehensive, well-documented tests and compliance monitoring policies, controls, and procedures to be followed by the Fund's custodian and the investment adviser* Prepare all materials and reports necessary to ensure that management and the Board stays fully informed and up to date on the Fund's compliance matters. This function requires flexibility, excellent communication and analytical skills, and coordination with other departments and groups, both within and outside the organization, including professional staff at third-party investment advisory firms* Work with the Fund custodian and local country income tax advisors and preparers, as applicable, and monitor other third-party processes responsible for preparation, review, and timely and accurate filing of all Fund-level tax returns and reports to ensure compliance with foreign country income, excise, withholding, reclaim, and information reporting requirements* Maintain appropriate filing and retrieval systems* Perform special project work and departmental administrative duties, as assigned Requirements If you have the following credentials, we encourage you to apply:* BA/BS Degree or equivalent work-related experiene* 5+ years of financial services industry experience in SEC and/or portfolio compliance matters* In-depth knowledge of the 1940 Investment Company Act and other securities laws* In-depth knowledge of portfolio/investment compliance * Ability to perform independent analysis of regulatory issues and to take and support positions* Highest level of commitment to quality and customer service* Works well with others / team-player / strong management and interpersonal skills* Dependable / reliable / self-motivated* Strong oral and written communication skills* Detail-oriented / analytical / high concentration level* Strong organizational, follow-up and time management skills; comfort in elevating issues, whenever applicable or appropriate* Ability to effectively manage multiple tasks and projects simultaneously* Strong computer (PC) skills and experience with Microsoft Office * Knowledge of foreign markets tax compliance, preferred* In-depth knowledge of Board governance, corporate and trust rules, regulations, and processes, 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.