Compliance Officer

Nreca • Arlington, VA

275d

About The Position

A unique opportunity to join a mutual fund organization supported by its non-profit 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 limited-purpose broker-dealer. NRECA is the parent company to Homestead Advisers Corp, a registered investment adviser. NRECA's mission is to promote, support and protect the community and business interests of electric cooperatives.

Requirements

• Bachelor's degree and Juris Doctorate preferred.
• 8 years of relevant experience with a law firm and/or a legal and compliance department.
• 3 years of experience managing people.
• 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 execution of all duties and responsibilities.
• Willingness to be hands-on 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 organization's 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 job-related 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.

Responsibilities

• Overseeing all aspects of monitoring key service providers.
• Drafting, implementing, and maintaining Homestead's 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.
• Analyzing and advising the Chief Compliance Officer on new SEC, FINRA, and financial industry rules, regulations, risk alerts, guidance, and enforcement actions.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Professional, Scientific, and Technical Services
• Education Level: Bachelor's degree