Natural Rural Electric Cooperative Counsel, Securities Compliance in Arlington, Virginia
Responsible for overseeing the regulatory filings for RE Advisers Corporation, RE Investment Corporation, Homestead Funds, Inc., and Homestead Funds Trust (together the “Funds”) (collectively, the “Companies”). Serves as the internal legal expert regarding regulatory matters and contracts entered into by the Companies. Serves as the Funds’ Board Secretary.
Essential Duties and Responsibilities:
Proactively works with the Companies’ Chief Compliance Officer to perform the duties and responsibilities of the position.
Leads the preparation, review and filing of the Companies’ regulatory filings by deadline.
Responsible for maintaining the regulatory filing calendar, coordinating with outside counsel and third parties, and ensuring the completeness and accuracy of the filings by deadline.
Leads multidisciplinary projects and serves as the internal legal expert in ensuring compliance with new regulatory requirements. Proactively works with colleagues to provide training and education and serve as a resource for regulatory questions.
Keeps current on SEC, FINRA, and DOL rules, regulations, risk alerts, guidance and enforcement actions. Analyzes and recommends approach and amendments to applicable policies and procedures.
Maintains the Companies’ corporate policies and procedures.
Leads the development of board and committee agendas based on the compliance calendar, conversations with the board chairman and Funds officers. Coordinates with outside counsel on the drafting of board resolutions. Ensures the proper notice of meeting and oversees the preparation and delivery of the board materials. Ensures that the board and committee minutes are drafted, reviewed, and approved at the next scheduled board or committee meeting.
Reviews incoming contracts and coordinates with the Companies stakeholders to produce redline responses. Supports negotiations of contracts and ongoing adherence to the contract terms.
Develops and maintains the Company’s “Form of” contracts for shareholder servicing and investment advisory contracts based on business needs, industry trends and regulatory requirements.
Represents the Funds on the SEC rules committee with the Investment Company Institute, the trade association for mutual funds.
Effectively communicates activities and pertinent information covering areas of responsibility, both internally and externally, in writing and orally, as appropriate, to senior leaders, management and the Funds board of directors.
Responsible for the proper security and disposal of any confidential information that he or she may possess in the course of performing this position's job duties, in accordance with NRECA’s Personnel & Administrative Policy and HIPAA Privacy and Security Policies & Procedures Manuals.
Direct Reports to this Position: