Senior SEC Compliance Analyst
Company Name:
National Rural Electric Cooperative Association
The National Rural Electric Cooperative Association (NRECA), with offices in Arlington, VA and Lincoln, NE is the trade association for over 900 consumer-owned electric cooperatives serving more than 42 million people. NRECA is committed to harnessing the strength of America's electric cooperatives into a single powerful voice. NRECA has won the following awards over the past few years:
100 Best Places to Work - ComputerWorld Magazine
50 Greatest places to Work - AARP
50 Best Places to Work - The Washingtonian
CARE Award Recipient - Recognizing organizations that promote a positive work-life balance
At NRECA, we work with people who are leaders in their fields, they are down-to-earth, hardworking professionals committed to helping our members serve their communities. Our work is interesting and constantly evolving and requiring new skills to meet the evolving needs of a dynamic industry. In this collegial, inclusive work environment, united around the compelling purpose and history of electric cooperatives, we thrive. And topping it off, NRECA cares about each person's overall well-being, encouraging health, financial security, and a sustainable work/life balance.
Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities
Summary
Senior SEC Compliance Analyst-P3
This position is responsible for staying abreast of legal and regulatory developments that affect NRECA (investment related), Homestead Funds, Inc., RE Advisers Corporation and RE Investment Corporation. This position serves as the project lead on the majority of the regulatory filings for these entities, which involves advanced legal knowledge and research abilities, financial data analysis, the ability to work with senior management and service providers, and acute time management skills. Additionally, this position is responsible for monitoring employee securities trading under the Code of Ethics and for overseeing the SEC Compliance Department's books and records program. Finally, the position is responsible for attending each meeting of the Homestead Funds' Board of Directors and serving as project lead on the management and presentation of the online board book.
Purpose and Mission
Serves as project lead on the following regulatory filings. Each filing requires in-depth legal research and analysis, communications with senior management and a mastery of the EDGAR system (the SEC's electronic filing system). As each filing is made available to the general public and the SEC, the information contained therein must be accurate and follow precise mandated standards. Additionally, specific requirements include:
Form N-PX: This is Homestead Funds' annual proxy voting report to the SEC. Prepares report based on data received from the custodian, which requires an understanding of our proxy voting policies and communications with Homestead Funds' sub advisors and with our third-party proxy voting service provider, to ensure accuracy of reporting.
Form 24f-2: This is Homestead Funds' annual payment to the SEC. Prepares form, which includes researching SEC rate changes and communicating with the Funds' Treasurer.
Form N-SAR: This is Homestead Funds' semi-annual management report to the SEC. Prepares report based on information received internally as well as from sub advisors, which requires a thorough understanding of Homestead's and RE Advisers' business to ensure accuracy of reporting, as well as communications with sub advisors, Investment Managers and the Funds' Treasurer.
Form 40-17G: This is Homestead Funds' annual reporting of its fidelity bond coverage to the SEC. Prepares report based on information provided by the risk manager, which requires an understanding of the fidelity bond requirements for mutual funds, as well as knowledge of the Funds' Board of Directors' determinations regarding this coverage to ensure accuracy of reporting.
Form 13F: This is a quarterly combined report of equity holdings over which NRECA and RE Advisers have investment management that is submitted to the SEC. Prepares report, which requires pulling the appropriate holdings data from the custodial bank, as well as analysis and assessment of the holdings data to ensure accuracy of reporting.
Form N-MFP: This is Homestead Funds' monthly report to the SEC regarding its money market portfolio. Preparation of this report requires an understanding of money market fund regulations to ensure accuracy of reporting. Coordinates with the Portfolio Manager and Treasurer for review and sign-off.
In addition, this position assists in the preparation of Homestead Funds' annual and semi-annual shareholder reports and annual registration statement update with the SEC, and converts financial data to XBRL where applicable. This employee is responsible for filing other regulatory filings as needed if trading activity triggers (i.e. Form 13H and Form 13G). Lastly, this position is responsible for managing an outside service provider responsible for converting and filing certain regulatory filings.
Stays abreast of legal and regulatory developments and conducts relevant research as requested by the Director of Compliance or Chief Compliance Officer. Provides guidance to access persons (i.e. staff and management of Investments and Finance) regarding all of the entities' adopted policies and procedures.
Monitors personal securities transactions of access persons for violations of the Homestead Fund/RE Investment/RE Advisers Code of Ethics and makes recommendations to the Chief Compliance Officer regarding violations. Provides Code guidance to access persons.
Serves as project lead on preparing and presenting the digital Homestead Funds' board book. This includes drafting Compliance board materials, coordinating board materials from Investments, Finance, Communications, outside counsel and other third-party presenters, organizing them within the electronic board book and making occasional presentations to the board. To ensure that each meeting runs smoothly, this task involves a thorough understanding of all Board topics and attendance at all meetings to project the board materials during each presentation, as well as communications with the Homestead Directors and board book service provider.
Oversees and maintains books and records for Homestead, RE Advisers and RE Investment as required by applicable SEC and FINRA regulations. Books and records requirements are the backbone of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the Securities and Exchange Act of 1934. This position ensures that all necessary books and records are maintained by the assigned record keeper, reviews current books and records to determine which records should be destroyed or sent offsite, reviews the recordkeeping structure on at least an annual basis and retrieves corporate records when requested by management or a regulatory/legal authority.
Requirements and Qualifications
Bachelor's Degree
Minimum of seven years of experience with mutual funds and/or investment advisers and the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
Position requires strong analytical and writing skills, a proficiency in research and analysis, the ability to meet demanding deadlines and a thorough understanding of complex legal regulations and their impact on the business.
EDGAR certification or commitment to obtain certification within 6 months of hire, and at least three years experience with the EDGAR filing system.
LI-KC1
Amount of Travel
No Travel
Job Title : Senior SEC Compliance Analyst
Location : Arlington, VA, USEstimated Salary: $20 to $28 per hour based on qualifications.
National Rural Electric Cooperative Association
The National Rural Electric Cooperative Association (NRECA), with offices in Arlington, VA and Lincoln, NE is the trade association for over 900 consumer-owned electric cooperatives serving more than 42 million people. NRECA is committed to harnessing the strength of America's electric cooperatives into a single powerful voice. NRECA has won the following awards over the past few years:
100 Best Places to Work - ComputerWorld Magazine
50 Greatest places to Work - AARP
50 Best Places to Work - The Washingtonian
CARE Award Recipient - Recognizing organizations that promote a positive work-life balance
At NRECA, we work with people who are leaders in their fields, they are down-to-earth, hardworking professionals committed to helping our members serve their communities. Our work is interesting and constantly evolving and requiring new skills to meet the evolving needs of a dynamic industry. In this collegial, inclusive work environment, united around the compelling purpose and history of electric cooperatives, we thrive. And topping it off, NRECA cares about each person's overall well-being, encouraging health, financial security, and a sustainable work/life balance.
Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities
Summary
Senior SEC Compliance Analyst-P3
This position is responsible for staying abreast of legal and regulatory developments that affect NRECA (investment related), Homestead Funds, Inc., RE Advisers Corporation and RE Investment Corporation. This position serves as the project lead on the majority of the regulatory filings for these entities, which involves advanced legal knowledge and research abilities, financial data analysis, the ability to work with senior management and service providers, and acute time management skills. Additionally, this position is responsible for monitoring employee securities trading under the Code of Ethics and for overseeing the SEC Compliance Department's books and records program. Finally, the position is responsible for attending each meeting of the Homestead Funds' Board of Directors and serving as project lead on the management and presentation of the online board book.
Purpose and Mission
Serves as project lead on the following regulatory filings. Each filing requires in-depth legal research and analysis, communications with senior management and a mastery of the EDGAR system (the SEC's electronic filing system). As each filing is made available to the general public and the SEC, the information contained therein must be accurate and follow precise mandated standards. Additionally, specific requirements include:
Form N-PX: This is Homestead Funds' annual proxy voting report to the SEC. Prepares report based on data received from the custodian, which requires an understanding of our proxy voting policies and communications with Homestead Funds' sub advisors and with our third-party proxy voting service provider, to ensure accuracy of reporting.
Form 24f-2: This is Homestead Funds' annual payment to the SEC. Prepares form, which includes researching SEC rate changes and communicating with the Funds' Treasurer.
Form N-SAR: This is Homestead Funds' semi-annual management report to the SEC. Prepares report based on information received internally as well as from sub advisors, which requires a thorough understanding of Homestead's and RE Advisers' business to ensure accuracy of reporting, as well as communications with sub advisors, Investment Managers and the Funds' Treasurer.
Form 40-17G: This is Homestead Funds' annual reporting of its fidelity bond coverage to the SEC. Prepares report based on information provided by the risk manager, which requires an understanding of the fidelity bond requirements for mutual funds, as well as knowledge of the Funds' Board of Directors' determinations regarding this coverage to ensure accuracy of reporting.
Form 13F: This is a quarterly combined report of equity holdings over which NRECA and RE Advisers have investment management that is submitted to the SEC. Prepares report, which requires pulling the appropriate holdings data from the custodial bank, as well as analysis and assessment of the holdings data to ensure accuracy of reporting.
Form N-MFP: This is Homestead Funds' monthly report to the SEC regarding its money market portfolio. Preparation of this report requires an understanding of money market fund regulations to ensure accuracy of reporting. Coordinates with the Portfolio Manager and Treasurer for review and sign-off.
In addition, this position assists in the preparation of Homestead Funds' annual and semi-annual shareholder reports and annual registration statement update with the SEC, and converts financial data to XBRL where applicable. This employee is responsible for filing other regulatory filings as needed if trading activity triggers (i.e. Form 13H and Form 13G). Lastly, this position is responsible for managing an outside service provider responsible for converting and filing certain regulatory filings.
Stays abreast of legal and regulatory developments and conducts relevant research as requested by the Director of Compliance or Chief Compliance Officer. Provides guidance to access persons (i.e. staff and management of Investments and Finance) regarding all of the entities' adopted policies and procedures.
Monitors personal securities transactions of access persons for violations of the Homestead Fund/RE Investment/RE Advisers Code of Ethics and makes recommendations to the Chief Compliance Officer regarding violations. Provides Code guidance to access persons.
Serves as project lead on preparing and presenting the digital Homestead Funds' board book. This includes drafting Compliance board materials, coordinating board materials from Investments, Finance, Communications, outside counsel and other third-party presenters, organizing them within the electronic board book and making occasional presentations to the board. To ensure that each meeting runs smoothly, this task involves a thorough understanding of all Board topics and attendance at all meetings to project the board materials during each presentation, as well as communications with the Homestead Directors and board book service provider.
Oversees and maintains books and records for Homestead, RE Advisers and RE Investment as required by applicable SEC and FINRA regulations. Books and records requirements are the backbone of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the Securities and Exchange Act of 1934. This position ensures that all necessary books and records are maintained by the assigned record keeper, reviews current books and records to determine which records should be destroyed or sent offsite, reviews the recordkeeping structure on at least an annual basis and retrieves corporate records when requested by management or a regulatory/legal authority.
Requirements and Qualifications
Bachelor's Degree
Minimum of seven years of experience with mutual funds and/or investment advisers and the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
Position requires strong analytical and writing skills, a proficiency in research and analysis, the ability to meet demanding deadlines and a thorough understanding of complex legal regulations and their impact on the business.
EDGAR certification or commitment to obtain certification within 6 months of hire, and at least three years experience with the EDGAR filing system.
LI-KC1
Amount of Travel
No Travel
Job Title : Senior SEC Compliance Analyst
Location : Arlington, VA, USEstimated Salary: $20 to $28 per hour based on qualifications.
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