Job Description:

Oregon State Treasury (OST) is recruiting for an Investment Compliance Officer position that will be located in our Tigard, Oregon office. This position will report to the Chief Compliance Officer.

OST is led by the State Treasurer, a constitutional officer and statewide elected official. The Treasurer serves as the chief financial officer for the state and is responsible for the prudent financial management of state money. The Treasurer serves a four-year term, and, if reelected, may hold the position for two terms. The current State Treasurer is Tobias Read, who was sworn into office in January 2017.

OST has developed into a highly sophisticated organization with a wide range of financial responsibilities, including managing the state’s pension fund, issuing all state debt, and serving as the central bank for state agencies. OST manages the daily investment of nearly $90 billion in assets, held in a diversified investment portfolio of domestic and international equities, fixed income securities, alternative and opportunistic investments, real estate and cash. The 120+ member OST staff takes great pride in their statewide and national reputation for progressive approaches to service delivery.

The Oregon State Treasury (OST) operates a compliance program within OST’s Legal and Compliance Division that monitors and evaluates portfolios, asset classes, and funds to determine compliance with OST policies and contractual obligations; ensures regulatory compliance of external investment managers; monitors and evaluates employee trading and compliance with OST policies and procedures; identifies instances of non compliance; provides information to OST management and the Oregon Investment Council (OIC) as appropriate; and verifies resolution by the appropriate individual or manager within the appropriate time frame. OST’s compliance program is independent of the Investment Division. Governance oversight is provided by the Compliance Executive Committee (CEC).

This position is responsible for testing and monitoring the effectiveness of internal controls designed to ensure the investment, regulatory and operational processes are compliant with the OST policies and applicable regulatory requirements. The Investment Compliance Officer works with the Compliance team to monitor, evaluate, and report on investment compliance for managed portfolios across all asset classes.

Asset classes include equities and fixed income, and “alternative” asset classes including real estate, private equity, alternatives (real assets) and opportunity funds. This position is also responsible for the OST regulatory reporting obligations to federal and state regulatory authorities, as applicable. The position requires the Investment Compliance Officer to collaborate, effectively communicate and work closely with both the Compliance team and Investment Division to accomplish their assigned responsibilities, projects and issues as they arise.

You must have the following to qualify:

– A bachelor’s degree in Business, Public Administration, Behavioral Sciences, Finance, Political Science or any degree demonstrating the capacity for the knowledge and skills AND five years professional level evaluative, analytical and planning work within the investment compliance industry working for a broker-dealer, investment advisor, investment manager, investment fund or similar entity;


– Any combination of experience and education equivalent to eight years of professional level evaluative, analytical and planning work within the investment compliance industry working for a broker-dealer, investment advisor, investment manager, investment fund or similar entity.

While not required, experience in portfolio management compliance and a Certified Securities Compliance Professional (CSCP), Certified Compliance & Ethics Professional (CCEP), Chartered Financial Analyst (CFA) Charter or similar designation, or desire to work towards such designation(s), is preferred.

For more information visit www.ost.state.or.us.

Contact Name: Kristin Stewart Contact Email: kristin.stewart@ost.state.or.us

Phone Number: 503-378-2336

Address:  350 Winter St. NE, Suite 100

City: Salem

State: Oregon

Zip: 97301

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