Assistance Vice President, Senior Compliance Officer

Saul Centers Bethesda , MD 20813

Posted 3 weeks ago

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., the firm specializes in unique thematic investment research and asset management. Chevy Chase Trust offers clients direct access to decision-makers and is built to put clients and client success over everything else. From thematic investment management to estate and financial planning, we show our commitment to inventive thinking and client service.

Our global, macroeconomic outlook means we do much more than observe and follow trends. Instead, we seek out ideas. It takes more than one kind of person to contribute to this culture. It takes all kinds of people thinking in unconventional ways-with a singular focus.

Position Summary

The Senior Compliance Officer shall provide support to the Chief Compliance Officer (Chevy Chase Trust & ASB Capital Management LLC) in the administration of compliance and legal functions for Chevy Chase Trust & ASB Capital Management LLC. The Senior Compliance Officer should have (or demonstrate an ability to develop) competencies and knowledge regarding the Investment Advisers Act, bank and fiduciary laws and regulations for trust companies, regulation of private offerings under Regulation D, and the USA PATRIOT ACT anti-money laundering regulations.

Duties & Responsibilities

  • The Senior Compliance Officer's primary responsibility will be to assist the Chief Compliance Officer in the oversight of each firm's corporate compliance program, to ensure 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.

  • Developing, implementing and monitoring policies and procedures for each firm's compliance with securities and fiduciary laws and regulations. This will include staying abreast of developments in the compliance and legal industries, as well as industry-wide "best practices" to revise policies and procedures from time-to-time in order to maintain best-in-class policies and procedures for each firm. In addition, the Senior Compliance Officer will be responsible for the day-to-day operation of the compliance program.

  • Developing and implementing periodic training for employees of each firm to insure employee awareness of firm policies and procedures, including Anti-Money Laundering, privacy and Code of Ethics policies.

  • 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.

  • Conducting new employee compliance orientations.

  • 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.

  • Assisting the Associate General Counsel of Chevy Chase Trust with specific tasks, as assigned.

Selection Criteria

  • Bachelor's degree or equivalent experience required

  • Expected to complete relevant industry training and possibly obtain a Series 65

  • 5 years of relevant experience required

  • 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; ability to prioritize multiple demands/projects and meet deadlines

  • Self-motivated

  • Ability to learn at a fast pace

The Company requires that its employees be fully vaccinated against COVID-19 unless they have an approved medical or religious accommodation.

Chevy Chase Trust is proud to be an equal opportunity workplace. We promote diversity and equality within all facets of our organization, and we foster an environment that recognizes employees' unique skillsets and ensure that all employees have an equal opportunity to grow and advance.

If you are a candidate in need of assistance or an accommodation in the application process, please contact or 301-986-6000.

Equal Opportunity Employer/Veterans/Disabled

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Assistance Vice President, Senior Compliance Officer

Saul Centers