State of Alaska
State Investment Officer [Compliance] (PCN 04-5042)
State of Alaska, Juneau, Alaska, us, 99812
The Treasury Division of the Alaska Department of Revenue manages $50+ billion on behalf of the Alaska Retirement Management Board (ARMB) and other state funds. The Middle Office is responsible for a variety of work including IT, performance analytics, enterprise risk, and investment compliance.
Learn more:
http://treasury.dor.alaska.gov/ SCOPE AND RESPONSIBILITIES: As part of the Middle Office team, this position supports investment performance and analytics work. Successful candidates will have career opportunities to grow and aid in further development of additional performance and portfolio analytics, as well as expanding the scope of the compliance function.
PRINCIPAL DUTIES:
Investment Compliance
Administer Bloomberg (including Compliance module) and SWIFT systems, including user access, system configurations, and alert review. Maintain Bloomberg Compliance rules and objects (e.g., watchlists, custom classifications, custom data fields, and daily data uploads); monitor intraday and end-of-day rule violations. Review investment guidelines (e.g., ARMB resolutions, contracts, policies and procedures, statutes, executive orders, etc.) to ensure they are properly captured within the Compliance program. Monitor compliance with rules outside of Bloomberg, including asset allocations, cash limits, leverage, overdrafts, plan rebalancing, securities lending, transfer memorandums, and other account-specific guidelines. Reconcile investment holdings and internal trades between Bloomberg, IBOR, and ABOR. Track and report on overdrafts, recaptured commissions, proxy voting, and bank collateralization. Identify, resolve, and prevent compliance violations by coordinating with relevant parties. Review employee personal trading disclosures to ensure adherence to internal compliance policies. Track, monitor, and report on the completion of statutory, regulatory, and contractual requirements. Support the internal traders between 6:00 AM-1:00 PM AKDT. Prepare monthly compliance reports for the ARMB Audit Committee and the Department of Revenue Commissioner.
Investment Reporting and Performance
Monitor daily report processing and resolve errors using our in-house application and coordinating with external parties, including our custodian bank and/or plan accounting firm. Aid in responding to performance and compliance related requests from external auditors and independent control reviews conducted by internal staff.
Other
Prepare and fulfill ad hoc data request for various stakeholders. Collaborate with investment officers to support data gathering and manipulation for decision-making events.
Bachelor’s degree. Strong sense of ethics and integrity. High level of critical thinking and attention to detail. Intellectually curious self-starter with an ability to independently research and develop ideas. Team-oriented mindset with strong communication skills. Proficiency with standard office software, such as Microsoft Office (Outlook Teams, Excel, Word) or comparable tools. PREFERRED QUALIFICATIONS: Relevant work experience. Progress towards an advanced professional designation (e.g., CPA, CIPM, CAIA). Experience with financial and data science software tools and languages (e.g., Python, R, SQL). EEO STATEMENT The State of Alaska complies with Title I of the Americans with Disabilities Act (ADA). Individuals with disabilities, who require accommodation, auxiliary aides or services, or alternative communication formats, please call 1-800-587-0430 or (907) 465-4095 in Juneau or TTY: Alaska Relay 711 or 1-800-770-8973 or correspond with the Division of Personnel & Labor Relations at: P.O. Box 110201, Juneau, AK 99811-0201. The State of Alaska is an equal opportunity employer. How to Apply: Cover letter, resume and professional references may be submitted to either: EMAIL: hunter.romberg@alaska.gov MAIL: Senior Compliance Officer Treasury Division Middle Office P.O. Box 110405 Juneau, AK 99811-0405
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http://treasury.dor.alaska.gov/ SCOPE AND RESPONSIBILITIES: As part of the Middle Office team, this position supports investment performance and analytics work. Successful candidates will have career opportunities to grow and aid in further development of additional performance and portfolio analytics, as well as expanding the scope of the compliance function.
PRINCIPAL DUTIES:
Investment Compliance
Administer Bloomberg (including Compliance module) and SWIFT systems, including user access, system configurations, and alert review. Maintain Bloomberg Compliance rules and objects (e.g., watchlists, custom classifications, custom data fields, and daily data uploads); monitor intraday and end-of-day rule violations. Review investment guidelines (e.g., ARMB resolutions, contracts, policies and procedures, statutes, executive orders, etc.) to ensure they are properly captured within the Compliance program. Monitor compliance with rules outside of Bloomberg, including asset allocations, cash limits, leverage, overdrafts, plan rebalancing, securities lending, transfer memorandums, and other account-specific guidelines. Reconcile investment holdings and internal trades between Bloomberg, IBOR, and ABOR. Track and report on overdrafts, recaptured commissions, proxy voting, and bank collateralization. Identify, resolve, and prevent compliance violations by coordinating with relevant parties. Review employee personal trading disclosures to ensure adherence to internal compliance policies. Track, monitor, and report on the completion of statutory, regulatory, and contractual requirements. Support the internal traders between 6:00 AM-1:00 PM AKDT. Prepare monthly compliance reports for the ARMB Audit Committee and the Department of Revenue Commissioner.
Investment Reporting and Performance
Monitor daily report processing and resolve errors using our in-house application and coordinating with external parties, including our custodian bank and/or plan accounting firm. Aid in responding to performance and compliance related requests from external auditors and independent control reviews conducted by internal staff.
Other
Prepare and fulfill ad hoc data request for various stakeholders. Collaborate with investment officers to support data gathering and manipulation for decision-making events.
Bachelor’s degree. Strong sense of ethics and integrity. High level of critical thinking and attention to detail. Intellectually curious self-starter with an ability to independently research and develop ideas. Team-oriented mindset with strong communication skills. Proficiency with standard office software, such as Microsoft Office (Outlook Teams, Excel, Word) or comparable tools. PREFERRED QUALIFICATIONS: Relevant work experience. Progress towards an advanced professional designation (e.g., CPA, CIPM, CAIA). Experience with financial and data science software tools and languages (e.g., Python, R, SQL). EEO STATEMENT The State of Alaska complies with Title I of the Americans with Disabilities Act (ADA). Individuals with disabilities, who require accommodation, auxiliary aides or services, or alternative communication formats, please call 1-800-587-0430 or (907) 465-4095 in Juneau or TTY: Alaska Relay 711 or 1-800-770-8973 or correspond with the Division of Personnel & Labor Relations at: P.O. Box 110201, Juneau, AK 99811-0201. The State of Alaska is an equal opportunity employer. How to Apply: Cover letter, resume and professional references may be submitted to either: EMAIL: hunter.romberg@alaska.gov MAIL: Senior Compliance Officer Treasury Division Middle Office P.O. Box 110405 Juneau, AK 99811-0405
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