Compliance Officer
Compliance Officer
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Job Description
A unique opportunity to join a mutual fund organization supported by its nonprofit parent in the Washington DC area. The National Rural Electric Cooperative Association (NRECA) is seeking an experienced Compliance Officer to report to the Chief Compliance Officer and provide comprehensive support across all facets of compliance and risk management for Homestead Funds as well as its affiliated investment advisers and limitedpurpose brokerdealer.
NRECA is the parent company to Homestead Advisers Corp a registered investment adviser. NRECAs mission is to promote support and protect the community and business interests of electric cooperatives.
Purpose
As part of the Office of General Counsel the Compliance Officer will be a member of a larger compliance team responsible for all compliance and legal requirements. Key responsibilities include: overseeing all aspects of monitoring key service providers; drafting implementing and maintaining Homesteads compliance policies and procedures; engaging with the Board of Directors and facilitating effective communication; managing the 15c process and ensuring the timely preparation and delivery of Board materials; contributing to departmental strategic initiatives; and analyzing and advising the Chief Compliance Officer on new SEC FINRA and financial industry rules regulations risk alerts guidance and enforcement actions
Impact
As a senior member of the team the Compliance Officer will play a vital role in ensuring Homesteads adherence with the federal securities rules and regulations.
Qualifications
Expertise Skills We Are Looking For
Formal Education Required:
Bachelors degree and Juris Doctorate preferred.
Experience and Certifications Required:
8 years of relevant experience with a law firm and/or a legal and compliance department.
3 years of experience managing people
Knowledge Skills and Abilities Required:
Extensive knowledge of Investment Company Act of 1940 Investment Advisers Act of 1940 and Securities Act of 1933 required
Ability to exercise sound judgment and discretion in the of all duties and responsibilities.
Willingness to be handson and proactive in offering solutions; comfortable with technology and data.
Intellectually curious across multiple disciplines.
Ability to be persuasive negotiate and collaborate with individuals at all levels inside and outside of the organization.
Ability to manage competing deadlines and multiple projects at various stages of development using effective organization skills and attention to detail.
Ability to lead and manage a team of professionals in support of the organizations strategic priorities.
Ability to define issues establish facts and draw valid conclusions to support management in strategic decision making.
Ability to be resourceful in leveraging resources available to obtain needed information.
Ability to lead highly visible multidisciplinary project/program teams or initiatives and provide leadership as the authority in risk and controls.
Ability to communicate both verbally and in writing with a diverse membership employees and/or vendors in a clear and precise manner.
Ability to use Microsoft Office tools (Excel Word Outlook Power Point) and to operate various office equipment such as personal computer copier printer fax machine or other jobrelated equipment.
Ability to provide service excellence by building relationships being resourceful responsive and respectful.
Ability to report to the office when required including quarterly board meetings.
Additional Requirement:
The preceding job description has been written to reflect managements assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. All qualified applicants will receive consideration for employment without regard to race color sex sexual orientation gender identity religion national origin disability veteran status or other legally protected status.
NRECA is committed to working with and providing reasonable accommodation to individuals with physical and mental disabilities. If you need special assistance or an accommodation while seeking employment please email or call:NRECA Arlington Human Resources. Please callNRECA Lincoln Human Resources for Lincoln NE employment opportunities. We will make a determination on your request for reasonable accommodation on a casebycase basis.
The U.S. Equal Employment Opportunity Commission (EEOC) recently released the Know Your Rights poster which updates and replaces the previous EEO is the Law poster and EEO Is the Law Poster Supplement.
Pay Transparency NonDiscrimination. NRECA will not discharge or in any other manner discriminate against employees or applicants because they have inquired about discussed or disclosed their own pay. Please see the Pay Transparency Nondiscrimination Provision for more information.
EVerify. As a Federal Contractor NRECA is required to participate in the EVerify Program to confirm eligibility to work in the United States. For information please click on the following link: EVerify.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
