Join Homestead Advisers
We are a dedicated investment services firm and mutual fund manager with roots in rural America, originally formed over 30 years ago to invest on behalf of community electric cooperatives and their members. Consider joining our team of experienced professionals, passionate about the work they do on behalf of our shareholders.
Position Description
Compliance Officer
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.
Overview
Homestead Advisers is seeking a Compliance Officer. The Compliance Officer works within the Office of General Counsel, overseeing regulatory compliance and legal requirements. As part of the Office of General Counsel, the Compliance Officer will be a member of a larger compliance team responsible for all compliance and legal requirements.
Key Responsibilities
- Monitor key service providers
- Draft and maintain compliance policies and procedures
- Engage with the board of directors on compliance and governance matters
- Manage board materials and the 15(c) process
- Contribute to strategic initiatives
- Analyze SEC, FINRA, and financial industry regulations for impact to the firm
Required Qualifications and Skills
- Bachelor’s degree and Juris Doctorate preferred
- 8+ years relevant experience in law firm or investment management/mutual fund company
- 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
- Sound judgment and discretion
- Proactive problem-solving and comfortable with technology and data
- Intellectual curiosity
- Strong negotiation and collaboration skills
- Effective project management and attention to detail
- Strategic decision-making abilities
- Excellent written and verbal communication
- Proficiency with Microsoft Office (Excel, Word, Outlook, PowerPoint)
- Ability to report to office as required, including quarterly board meetings