Chief Of Compliance

State Of North Carolina Raleigh , NC 27611

Posted 2 months ago

Description of Work


This position is currently designated as a covered position under the North Carolina State Government Ethics Act (Chapter 138A of NC General Statutes). The individual hired to this position will be subject to the provisions of the Ethics Act as a "covered person" including the need to: (1) Complete a Statement of Economic Interest for evaluation by the State Ethics Commission, if annual compensation is $60,000 or more and (2) Complete a biennial ethics education and awareness program offered by the Commission within six months of hire. For more information please visit the State Ethics Commission at

In furtherance of the Department of State Treasurer's existing ethics and transparency programs, this position is subject to the ethics and conflict of interest requirements of the Department of State Treasurer Supplemental Ethics Policy (Tier 2 Ethics Policy).

Do you have a compliance and financial auditing background? Do you enjoy analyzing and interpreting policies? Are you experienced in communicating to diverse audiences? If so, the Department of State Treasurer's Retirement Systems Division has a position for you as a Chief of Compliance.

The Department of State Treasurer's campus is located off Atlantic Avenue, is surrounded by many shopping centers and restaurants, has access to a 24-hour 7-day a week free gym on the campus, offers a competitive benefit package, and has free employee parking.

The North Carolina Retirement Systems, the formal name for the pension fund, is the 9th largest public pension fund in the country. It provides retirement benefits and savings for more than 950,000 North Carolinians, including teachers, state employees, local governments, firefighters, police officers and other public workers.

The Retirement Systems Division (RSD) is a part of the Department of State Treasurer (DST) and administers the statutory retirement and fringe benefit plans as authorized by the General Assembly of North Carolina. These include eight (8) major pension retirement plans: Teachers' and State Employees' Retirement System (TSERS), Teachers' and State Employees' Retirement System for Law Enforcement Officers (TSERS LEO), Local Governmental Employees' Retirement System (LGERS), Local Governmental Employees' Retirement System for Law Enforcement Officers (LGERS LEO), Consolidated Judicial Retirement System (CJRS), Legislative Retirement System (LRS), Fire & Rescue Squad Workers' Pension Fund (FRSWPF), and the Disability Income Plan of North Carolina (DIPNC). In addition, RSD works with the North Carolina National Guard (NCNG) to provide pension payments to National Guard retirees.

RSD is also responsible for overseeing three defined contribution plans and programs (NC 401(k) Plans, NC 457 Plan and the NC 403(b) Program) for all state agencies, local employers and employees, as well as the NC ABLE savings program for individuals living with disabilities.

This position will:

  • Lead the Retirement Systems Division's Compliance staff in carrying out a variety of responsibilities, including process audits, account audits, recoupment of overpaid amounts, and administration of legally required financial penalties.

  • Ensure adherence to established policies and procedures throughout the Retirement Systems Division; develop and modify policies and procedures as needed.

  • Support a culture of process improvement, based on regular reviews and collaboration between compliance and operational functions.

  • Advise the Retirement Systems' legal and policy experts on the impacts of proposed legislative or operational changes.

  • Oversee the development of Administrative Code provisions related to the Retirement Systems.

  • Serve as performance manager for numerous permanent and temporary staff, ensuring appropriate on-boarding, off-boarding, training, coaching for success, and performance evaluation.

Knowledge, Skills and Abilities / Competencies

  • Oral, written, and editorial communication skills demonstrable from work experience.

  • Thorough knowledge of the General Statutes, Administrative Code, and operational processes relating to the North Carolina Retirement Systems.

  • Accounting or auditing experience.

  • Research and/or investigative skills demonstrable from work experience.

  • Analysis of complex problems.

  • Supervisory experience and effective performance management

  • Ability to maintain strong effective working relationships in an environment with competing interests.

  • Ability to teach and train employees on complex topics.

Management Preference

Understanding of Generally Accepted Accounting Principles (U.S. GAAP), reporting guidelines, and Internal Audit procedure, as demonstrated by work experience. Two years of supervisory program experience. Minimum Education and Experience Requirements

Bachelor's degree from an appropriately accredited institution and three (3) years of program experience related to the area of assignment, including one year of supervisory program experience; or an equivalent combination of training and experience.

Supplemental and Contact Information


This position is subject to a criminal history background check through CastleBranch. In addition, one or more of the following may also be reviewed, depending on the nature and requirements of the position: employment history, professional references, credit history, and educational verification (i.e., degree, license, or official transcript). Foreign degrees may require an official evaluation for U.S. equivalency. Applicants will be required to pass the background check to the satisfaction of the North Carolina Department of State Treasurer. All offers of employment are conditional until the satisfactory completion of the background check.

All applicants must complete and submit a State application for employment using the NEOGOV Online Job Application System ( for the State of North Carolina. To receive credit for your work history and credentials, you must list the information on the online application form. Any information omitted from the application cannot be considered in screening for qualifying credit. Attached or incorporated resumes (including Text resumes on application form) WILL NOT be used for screening for qualifying credit. Please make sure you complete the application in full. "See Resume" or "See Attachment" will NOT be accepted. Other attachments will also be accepted, but not used in screening for qualifying credit.

Due to the volume of applications received, we are unable to provide information regarding the status of your application over the phone. To check the status of your application, please log in to your account and click "Application Status". It is not necessary to contact the Human Resources Office to check the status of an application.

If you are having technical issues submitting your application, please call the NEOGOV Help Line at 855-524-5627. If there are any questions about this posting, other than your application status, please email Dept of State Treasurer at

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Chief Of Compliance

State Of North Carolina