Compliance Specialist
ICMA-RC - Washington, DC

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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 $41 billion in retirement plan assets for more than one million individuals. 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 Compliance team.

This position is primarily responsible for handling day-to-day administrative duties in connection with ICMA-RC’s Code of Ethics (COE) and Personal Securities Trading Policy (PST); SEC and state rules and regulations and other tasks as assigned by compliance management staff.

Essential functions for this role include:
  • Responsible for daily insider trading process including: handling the daily transaction pre-clearance process, request and review of duplicate statements, quarterly and annual reporting process including sending notices and reminders and reconciling transaction requests to statements and preparing various summary reports for management.
  • Monitor and track changes or suggested changes to the COE/PST.
  • Participate in yearly project to update the COE/PST, the training plan (including assistance in development of compliance bulletins) and delivery of training.
  • Track the receipt of annual acknowledgement forms for PST and COE. Provide status update to manager to escalate, if necessary.
  • Prepare written summary to the boards of various entities for the quarterly reporting required by the PST policy.
  • Meet w/regulatory agencies, internal and external auditors to respond to examination requests for COE/PST.
  • Serve as point of contact responding to questions surrounding the COE/PST.
  • Track gifts and outside business reporting.
Other responsibilities

  • Under the direction of senior members of the Compliance Department, conduct compliance reviews of regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings.
  • Review quarterly and annual reports from service providers to identify issues that require follow-up and reporting to the various boards (The Vantagepoint Funds, ICMA-RC and VantageTrust Company).
  • Assist in the preparation of materials for the boards based on compliance reviews noted above.
  • Working with members of the Compliance Department to provide back-up support as needed for internal compliance functions including but not limited to: i) registration and licensing ii) marketing materials compliance; iii) branch office review and oversight; iv) in coordination with Human Resources, compliance training and education; and, v) troubleshooting for the automated documentation system used by Compliance and Internal Audit.
  • Other duties, projects and assignments as required.
Requirements
If you have the following credentials, we encourage you to apply:

  • BA /BS degree or equivalent related experience.
  • 3+ years of compliance support experience in financial services environment.
  • Detail oriented with proven high level of accuracy.
  • Demonstrated organizational skills and the ability to prioritize effectively.
  • Proven ability to understand fairly complex rules and regulations.
  • Knowledge of basic regulatory frameworks, general regulatory and internal control requirements.
  • Strong analysis and reporting skills.
For 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.

ICMA-RC - 14 months ago - save job - block
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