INVESTMENT COMPLIANCE AND RISK OFFICER

Location
Phoenix, Arizona
Salary
DOE + Excellent Benefits and Great Work/Life Balance
Posted
Apr 19, 2021
Closes
May 19, 2021
Industry Sector
Government
Employment Type
Full Time
Education
Masters

JOB SUMMARY:

The Investment Compliance and Risk Officer (ICRO) provides compliance and risk information to the Executive Director and Chief Investment Officer on a regular basis, and periodically to the Chief Internal Auditor, and through the Director to the Board Investment Committee and Board.  The ICRO will also assist the Financial Services Division by reviewing and reconciling investment related financial activities. 

Duties will include:

  • Monitor compliance with:
  • Investment Management Strategic Policies
  • Investment Management Standard Operating Procedures
  • Portfolio Risk Parameters such as tracking error
  • Ensure and manage compliance with:
  • IRS Reporting and other requirements
  • Treasury including OFAC reporting and other requirements
  • SEC reporting and other requirements
  • CFTC reporting and other requirements
  • Other federal or State requirements
  • Develop management and oversight Risk Reports in concert with the Executive Director and Chief Investment Officer
  • Conduct ad hoc analysis for the Executive Director
  • Support Financial Services Division regarding:
  • GASB 72 leveling
  • Investment related disclosures
  • Review of investment fees
  • Cash Control Review Support
  • Investment Reconciliations
  • Other duties as assigned by the Executive Director

In addition, the ICRO may be appointed by the Director to participate as a Committee member for ASRS Defined Contribution Plans.

The ICRO will likely substantially rely on the data, systems, reports, and analytics of external vendors such as the custody bank, staff extension consultants, general investment consultant, and trading platforms to generate the required reports.

Position Qualifications:

Significant technical expertise in one or more of the following areas, and general knowledge in the remaining areas, is required:

  • US Equities
  • US Fixed Income
  • Private Debt
  • Real Estate
  • Private Equity
  • Separate Accounts
  • Derivatives
  • Securities Lending
  • Performance Measurement
  • Attribution Analysis
  • Custody Banking

In addition to the technical skills, the successful candidate will have strong:

  • Presentation skills
  • Writing and policy development skills
  • Ability to discern between material versus less material risks

And be able to:

  • Collegially integrate within the agency

Appropriate degrees or designations include MBA, Economics, CFA, CAIA.

To apply: go to website provided and search Job ID 496403.

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