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In-House
Attorney
Corporate - General
$122,518-$153,147
Min 3 yrs required
Senior Compliance Officer - Investments The candidate: Designs, implements and documents risk-based procedures to monitor the compliance of existing URS equity, fixed income, private equity, real assets, and absolute return managers with URS investment policies, applicable laws, and advisor agreements. This includes monitoring of derivative usage, currency exposure, fixed income duration and quality, portfolio volatility, portfolio risk, and other specific portfolio characteristics and attributes. Develops and implements formalized review procedures for new proposed investments. Completes review of due diligence documentation for new investments. As needed, implements and documents regular reviews of the securities lending program. Assists in the implementation and oversight of proxy voting for URS. Tracks class action settlements and recoveries. Maintains database of portfolio transactions and holdings used in the tracking process. Works in conjunction with internal and external legal counsel to respond to information requests related to class action litigation. Monitors implementation of the URS rebalance policy to ensure that asset classes and subclasses are within allowable ranges or rebalanced if necessary. Reviews monthly asset allocation and variance reports presented to the Board. Monitors risk and performance at the manager and portfolio level. Identifies and resolves any areas of significant concern. Monitors defined contribution pooled and target date funds to ensure they are within allowable ranges or rebalanced if necessary. Assists in the administration of the URS Ethics Policy. Provides training to fiduciary staff employees. Monitors trading activity of fiduciary staff and maintains trade disclosure records. Maintains the restricted list for URS. Evaluates controls and procedures over the valuation process of hard-to-value securities. Reviews and tests valuations of hard-to-value securities. Assists in the development and review of compliance and investment policies and procedures. Recommends appropriate changes to advisor contracts and URS investment policies and procedures. As required, presents these changes to the appropriate investment committee and to the URS Board. On a regular basis performs onsite due diligence reviews of investment managers. Summarizes and documents the review and recommends corrective action as necessary. Participates in real estate asset management and acquisition reviews as required. Participates in regular reviews of the URS program to provide investment advice and retirement planning to plan participants. Works with staff, auditors and regulatory agencies to fulfill information requests. Monitors evolving issues with regulatory agencies and reviews the adequacy of controls to ensure compliance with applicable regulations. Completes regulatory filings with the Securities and Exchange Commission. Responds to certification requests from investment managers and regulators. Completes required divestment reporting and notifications to the Utah Legislature and impacted investment managers. Maintains strict confidentiality. And performs other duties as assigned. Bachelor’s degree in finance, accounting, business, or related field and 3+ years of responsible experience with investment compliance systems; or an equivalent combination of education and experience. Specific experience in investment compliance at a public pension plan with defined benefit and defined contribution programs, oversight of alternative investments, securities regulations and filings, and institutional investing, or investment auditing is preferred. Preference will be given to those with a Master’s degree or Juris Doctorate. Credentials such as a Chartered Financial Analyst, Certified Securities Compliance Professional, Certified Public Accountant, or passed the Bar Exam are preferred.
Job ID: 2017-2464
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