Investment Compliance Manager

Less than 5 years experience  • 

Salary depends on experience
Posted on 05/21/18
Washington, DC
Less than 5 years experience
Salary depends on experience
Posted on 05/21/18


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 position is responsible for leading and developing portfolio compliance monitoring of ICMA-RC’s Vantagepoint Collective Trust Funds (“the Fund”) and ensuring prompt resolution of portfolio compliance issues. The Compliance Manager will also assist with foreign markets taxation requirements on behalf of the Fund. The Compliance Manager works closely with ICMA-RC’s internal departments and provides oversight of third-party fund administration personnel to accomplish the essential functions of the position.


Essential functions for this role include:

• Participate in the development and review of the Fund's investment guidelines. Develop comprehensive investment compliance tests and compliance monitoring controls to be followed by the Fund's investment advisors and custodian.
• Manage and oversee the post-trade portfolio compliance monitoring of the Fund, including reviewing compliance reporting and analyzing investment compliance and regulatory issues impacting the Fund, and promptly communicating with the appropriate parties within and outside of the organization.
• Prepare materials and reports necessary to ensure that management and the Fund’s Board stays informed on the Fund's portfolio compliance and foreign markets taxation compliance matters.
• Work with the Fund’s custodian and local country tax advisors, and monitor third-party processes responsible for preparation, review, and timely and accurate filing of all Fund-level foreign markets tax compliance matters, including reports and tax returns to ensure compliance with foreign country income withholding and reclaim 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
• 3+ years of direct experience in portfolio/investment compliance, ideally within an institutional investment management firm or third-party fund administrator.
• Proven experience in portfolio/investment compliance
• Strong working knowledge and interest in financial markets and investment instruments
• Ability to perform independent analysis of compliance and 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
• Flexible / 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
• In-depth knowledge of the Investment Company Act and other securities laws
• Knowledge of foreign markets tax compliance, preferred
• In-depth knowledge of Board governance, corporate and trust rules, regulations, and processes, preferred

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