Compliance Officer

Business Unit:
Compliance, Risk and Internal Audit
Salary Range:
$75,000 USD - $100,000 USD
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.
Job Description:
The U.S. Adviser Compliance Officer is responsible for assisting in the proactive enhancement of the compliance program for Russell Investments' U.S. registered investment advisers. The position will have responsibilities that span policies and procedures, governance, training, risk assessments and monitoring of adviser activities. Key areas of oversight include professional ethics, regulatory filings, conflicts of interest, trading and institutional asset management. Additionally, this position will play a role in vendor oversight, private funds, ERISA and QPAM. The U.S. Adviser 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.
The role can be in Seattle or New York.
Core Responsibilities:

• Assist in the pillars of an effective Compliance Program for the U.S. Advisers - policies and procedures, training, governance, testing and monitoring.

• Assist in regulatory filings and annual compliance reports.

• Participate in regulatory development assessments and implementation.

• Assist in the review, documentation and testing of policies and procedures under the various compliance programs.

• 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 establishing a foundation of trust and engagement.

Your Expertise:

• Knowledge regarding investment adviser and asset management operations.

• A strong educational background including an undergraduate degree or relevant experience; requires at least 2 years of relevant experience working in legal, compliance, risk management, or operational risk related role.

• At least 2 years at a financial institution is preferred.

• 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.

Equal Employment Opportunity
Russell Investments is committed to providing equal employment opportunities for all associates and employment applicants regardless of race, religion, ancestry, creed, color, gender (including gender identity which refers to a person's actual or perceived sex, and includes self-image, appearance, behavior or expression, whether or not different from that traditionally associated with a person's biological sex), age, national origin, citizenship status, disability, medical condition, military status, veteran status, marital status, sexual orientation, past or present unemployment status , or any other characteristic protected by law.