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Oregon State Treasury is recruiting for a Compliance Manager that will be located in our Tigard, Oregon office in the Portland metro area. This position will report to the General Counsel.
Oregon State Treasury is led by the State Treasurer, a constitutional officer and statewide elected official. The Treasurer serves as the chief financial officer for the state and is responsible for the prudent financial management of state money. The Treasurer serves a four-year term, and, if reelected, may hold the position for two terms. The current State Treasurer is Tobias Read, who was sworn into office in January 2017.
Oregon State Treasury is a highly sophisticated organization with a wide range of financial responsibilities, including (1) managing the state's pension fund, (2) issuing all state debt, and (3) serving as the central bank for state agencies. OST manages the daily investment of nearly $90 billion in assets, held in a diversified investment portfolio of domestic and international equities, fixed income securities, alternative and opportunistic investments, real estate and cash. The 120+ member staff takes great pride in their statewide and national reputation for progressive approaches to service delivery.
Oregon State Treasury operates a compliance program within Oregon State Treasury's Legal and Compliance Division. The compliance program is independent of the Investment Division. Governance oversight is provided by the Compliance Executive Committee.
What you'll be doing....
As the Compliance Manager, you will create and build an effective OST compliance team and manage the operation of the compliance program. Additionally, you will be expected to develop and maintain a high performing compliance program. Other responsibilities include, but are not limited to:
Monitor, evaluate, and report on investment compliance for managed portfolios across all asset classes. Asset classes include equities and fixed income; and "alternative" asset classes including real estate, private equity, alternatives (real assets) and opportunity funds.
Oversee the effectiveness of OST compliance controls designed to prevent or mitigate various risks and to help ensure compliance with OST policies and applicable federal and state laws, rules and regulations. Recommend and implement improvements and best practices for the compliance team.
Regulatory reporting obligations to federal and state regulatory authorities, as applicable.
Support audit functions for internal and external audits for all managed portfolios by identifying areas of deficiency and implementation of a remediation plan.
Supervise compliance staff, performing informal and formal reviews of compliance staff's performance.
Represent the Legal and Compliance Division and OST in other divisional, agency, and government task forces and committees and participates in professional organizations relevant to investments, investment compliance, risk management, government, administration, and leadership, as appropriate.
Report to OST management, the Compliance Executive Committee, and the Oregon Investment Council, as appropriate, on the activities and effectiveness of OST's compliance group.
What we are looking for...
High standards of professionalism, ethics, and integrity;
Sensitivity to confidential matters;
A self-starter with the initiative to drive for results;
A highly organized and process-driven approach, with a strong attention to detail;
Outstanding interpersonal communication, collaboration skills, and leadership abilities;
Excellent analytical and problem solving skills and an ability to work under pressure;
An ability to thrive with change and manage others through change; and
An ability and willingness to travel.
What we want...
A bachelor's degree in Business, Finance or a related field;
A minimum of five (5) years' experience in investment compliance or minimum of seven (7) years' relevant work experience in some combination of investment compliance and the investment industry;
Manage staff by clearly communicating expectations, accountabilities and providing performance feedback for continuous improvement. Mentor, develop and train direct reports;
An understanding of equity and fixed income products and trading; and
An understanding of financial instruments and investment products including equity, debt and derivative securities.
While not required, experience building out a program, particularly a compliance program, is preferred. A Certified Securities Compliance Professional (CSCP), Certified Compliance & Ethics Professional (CCEP), Chartered Financial Analyst (CFA) Charter or similar designation, or desire to work towards such designation(s), is preferred.