The⠀Compliance⠀Officer is⠀responsible⠀for⠀assisting⠀in the⠀documentation⠀and⠀execution⠀of the⠀compliance⠀program⠀for⠀Russell⠀Investments’⠀U.S.⠀registered⠀investment⠀advisers⠀and U.S.⠀registered⠀investment⠀companies.⠀This⠀position⠀will take⠀the lead⠀in the⠀documentation⠀and⠀management⠀of board⠀reporting⠀to the⠀various⠀boards the⠀U.S.⠀Compliance⠀team is⠀reporting⠀to. These⠀funds may⠀be⠀internal⠀or⠀external⠀to the⠀Russell⠀fund⠀family and⠀span⠀mutual⠀funds,⠀ERISA⠀funds and⠀private⠀funds.⠀Additionally,⠀this⠀position⠀will play⠀a role in⠀vendor⠀oversight⠀and⠀testing of⠀fund and⠀service⠀provider⠀policies⠀and⠀procedures.⠀The⠀compliance⠀team⠀serves as⠀a robust⠀independent⠀second⠀line of⠀defense to⠀help⠀ensure⠀that the⠀firm⠀operates⠀within⠀regulatory⠀requirements⠀and⠀industry⠀practices,⠀and this⠀is a⠀supporting⠀position⠀within the⠀compliance⠀team.
Salary⠀Range:⠀$75,000 -⠀$90,000
Specific⠀compensation⠀will be⠀based on⠀candidate’s⠀experience,⠀skills,⠀qualifications,⠀commercial⠀considerations,⠀and other⠀job-related⠀factors⠀permitted⠀by law. At⠀Russell⠀Investments,⠀salary is⠀just one⠀part of⠀our⠀compensation⠀package.⠀Our total⠀rewards⠀approach⠀includes⠀an annual⠀performance⠀bonus⠀(subject⠀to⠀eligibility⠀criteria)⠀in⠀addition⠀to⠀participation⠀in our⠀competitive⠀benefits⠀programs⠀including⠀healthcare,⠀retirement,⠀vacation,⠀and⠀wellbeing⠀programs.
Core⠀Responsibilities:
- Documentation⠀of⠀quarterly⠀board⠀reporting⠀on⠀compliance⠀programs⠀for funds⠀RI manages⠀and has⠀compliance⠀responsibility⠀for.
- Assist⠀in the⠀documentation⠀of⠀compliance⠀responses⠀in annual⠀contract⠀renewal.
- Coordinate⠀due⠀diligence⠀projects⠀for new⠀fund⠀clients.
- Assist⠀in the⠀review,⠀documentation⠀and⠀testing of⠀policies⠀and⠀procedures⠀under the⠀various⠀compliance⠀programs.
- Assist⠀in the⠀oversight⠀of money⠀manager⠀firms⠀hired to⠀manage or⠀assist in⠀the⠀management⠀of funds.⠀This will⠀include⠀reviews of⠀money⠀manager⠀procedures,⠀reviews of⠀periodic⠀questionnaires⠀in the⠀DiligenceVault⠀system.
- Assist⠀in the⠀administration⠀of the⠀DiligenceVault⠀system.⠀Maintaining⠀contact⠀accuracy,⠀managing⠀changes,⠀initiating⠀questionnaires,⠀reporting.
- Assists⠀in⠀responding⠀to various⠀regulatory⠀inquiries⠀and or⠀examinations.
- Prepare⠀documentation⠀and⠀minutes⠀for⠀internal⠀governance⠀committees⠀managed by⠀Compliance,⠀including⠀the RIFUS⠀Disclosure⠀Controls⠀and⠀Procedures⠀Committee,⠀internal⠀service⠀provider⠀review⠀sessions.
- Assist⠀in issue⠀documentation⠀and⠀reporting⠀under⠀internal⠀risk⠀management⠀controls.
- Build⠀and⠀maintain⠀relationships⠀within the⠀compliance⠀team as⠀well as⠀across the⠀organization.⠀These⠀relationships⠀will be⠀key in⠀accomplishing⠀testing⠀and⠀reporting⠀responsibilities⠀for the⠀compliance⠀programs.
Your Expertise:
- Knowledge⠀regarding⠀investment⠀adviser⠀and U.S.⠀mutual⠀fund⠀compliance⠀and⠀investment⠀operations.
- A⠀strong⠀educational⠀background⠀including⠀an⠀undergraduate⠀degree or⠀relevant⠀experience;⠀requires⠀3-5 years⠀of⠀relevant⠀experience⠀working in⠀compliance,⠀risk⠀management,⠀or⠀operational⠀risk⠀related⠀role.
- Strong⠀writing⠀skills
- Strong⠀interpersonal,⠀oral, and⠀written⠀communication⠀and⠀collaboration⠀skills⠀with all⠀levels of⠀management
- Strong⠀organizational⠀skills⠀including⠀the⠀ability to⠀adapt to⠀shifting⠀priorities⠀and meet⠀frequent⠀deadlines,
- Demonstrated⠀proactive⠀approach⠀to⠀problem-solving⠀with⠀strong⠀judgment⠀and⠀decision-making⠀capability.
- Highly⠀resourceful⠀and⠀collaborative⠀team-player,⠀with the⠀ability to⠀also be⠀independently⠀effective⠀and exude⠀initiative⠀and a⠀sense of⠀urgency.
- Exemplifies⠀our⠀customer-focused,⠀action-oriented,⠀results-driven⠀culture.
- Forward⠀looking⠀thinker,⠀who⠀actively⠀seeks⠀opportunities,⠀has a⠀desire for⠀continuous⠀learning,⠀and⠀proposes⠀solutions.
- Ability⠀to act⠀with⠀discretion⠀and⠀maintain⠀complete⠀confidentiality.
- Dedicated⠀to the⠀firm’s⠀values of⠀non-negotiable⠀integrity,⠀valuing⠀our⠀people,⠀exceeding⠀client⠀expectations,⠀and⠀embracing⠀intellectual⠀curiosity⠀and rigor.
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