B.F. Saul Company

  • Junior Compliance Officer

    Location
    Bethesda, MD
    Job Category
    Audit
  • Overview

    Chevy Chase Trust is a privately owned investment think tank offering independent and highly personalized financial advice and planning for individuals, families and institutions. Located just outside of Washington D.C. in Bethesda, the firm specializes in unique thematic investment research and asset management. With almost ninety financial professionals averaging twenty years of experience, Chevy Chase Trust offers clients direct access to decision-makers and is built to put clients and client success over everything else.

     

    Chevy Chase Trust is looking for a Junior Compliance Officer to join their team to provide support to the Chief Compliance Officer in the administration of compliance and legal functions for both Chevy Chase Trust and ASB Capital Management.  This position requires a high degree of self-initiative and ownership of results.

    Duties & Responsibilities

    The Junior Compliance Officer’s primary responsibility will be to assist the Chief Compliance Officer in the oversight of each firm’s corporate compliance program, to insure that each firm (and its respective employees) is in compliance with the rules and regulations of regulatory agencies, company policies and procedures and firm-wide standards of conduct. Specifically, the Junior Compliance Officer will be responsible for: 

    • Implementing and monitoring policies and procedures for each firm’s compliance with securities and fiduciary laws and regulations. This will include conducting follow-up with the other staff to ensure compliance with the firm’s policies and participating in the daily administration of compliance throughout the firm. These duties will include day-to-day monitoring activities for each firm’s equity, fixed income and real estate investment management functions as well as oversight of various trust services, anti-money laundering procedures, privacy and cybersecurity monitoring, and ERISA compliance.
    • Day-to-day administration of the firm’s compliance modules within the firm’s custodian, trade order management, and compliance systems.
    • Assisting in the delivery of responses to regulatory exams, external and internal audits and firm self-assessments.
    • Coordinating on-site visits of regulatory examiners.
    • Administering the IARD web-site filings for each firm.
    • Administering the state filing requirements for the individual investment adviser representatives of each firm.
    • Acting as the secretary for the CCTC Portfolio Review Committee, AMLOC, ERISA Oversight, GIPS Oversight, and ASB’s Portfolio Review Committee as well as backup secretary for other committees.
    • Monitoring and, as necessary, coordinating compliance activities of various departments to remain abreast of compliance matters and identify trends.
    • Identifying potential areas of compliance vulnerability and risk.
    • Assisting the Associate General Counsel of Chevy Chase Trust with specific tasks, as assigned.

    Qualifications & Skills

    JOB REQUIREMENTS (SKILLS / ABILITIES): 

    • Excellent interpersonal skills
    • Good analytical skills and judgment
    • Strong oral and written communication skills
    • Reasonably strong personal computer skills
    • Detail oriented with excellent organizational skills
    • Exceptional time management skills; able to prioritize multiple demands/projects and meet deadlines
    • Self-motivated
    • Able to learn at a fast pace

    EXPERIENCE:

    At least one to three years of relevant experience required, no more than 5 years of experience preferred. 

     

    EDUCATION / LICENSES / CERTIFICATIONS:

    Bachelor’s Degree required.

    Expected to complete relevant industry training.

     

     

    Equal Opportunity Employer/Veterans/Disabled

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