Connecticut StateDepartment of Administrative Services

Executive Assistant 1 - Chief Compliance Officer

Recruitment #210809-3501EX-001

Introduction

The Office of the State Treasurer exists to provide and ensure effective financial management of public resources, high standards of professionalism and integrity, and expanding opportunity for State of Connecticut residents and businesses.

Under the leadership of Connecticut’s State Treasurer Shawn T. Wooden, the Office of the Treasurer (OTT) is dedicated to safeguarding the state’s financial resources and taxpayers’ dollars, while maximizing returns, minimizing risks and operating at the highest professional and ethical standards. Through investments and disbursements, the Office continues to enhance the State’s fiscal stability, financial literacy, college savings, and its approach to leveraging business partnerships to combat social issues such as gun violence, climate change, and equal opportunity in economic growth that impact shareholder value.  

Applications are being accepted for an Executive Assistant 1, serving in the role as a  Chief Compliance Officer and Counsel.  The position has primary responsibility for providing legal advice and counsel to the Treasurer and his professional staff concerning legal matters relative to the Office including, without limitation, contracting, dispute resolution, legislation, regulations, and administrative policy; Direct the Treasury's compliance efforts to ensure compliance with all applicable law including, the state’s Code of Ethics for Public Officials, the Freedom of Information Act (FOIA) and the Elections and Campaign Finance law; develop or assist in the development of related policies and procedures to comply with federal and state requirements; monitor ongoing compliance with statutory investment restrictions; promote awareness of and compliance with the Code of Ethics for Public Officials and the FOIA, including training of staff; supervise the collection and analysis of annual disclosures received from vendors; evaluate compliance of bidders/prospective vendors; ensure filing of the Treasury's affirmative action plan. The successful candidate will work under the general direction of the General Counsel or his designee; may manage relationships with outside counsel, the Office of the Attorney General, and other state and federal entities.   This is a full time (40 hours per week), unclassified position located centrally in Hartford, CT. The selected candidate will be appointed as authorized by Section 5-198(10) of the Connecticut General Statutes. This position requires:

  • Knowledge of compliance law, including FOIA, Ethics, Campaign Finance laws.
  • Knowledge of relevant state and federal laws, statutes and regulations.
  • Knowledge of the Uniform Administrative Procedures Act.
  • Considerable interpersonal skills.
  • Considerable oral and written communication skills.
  • Considerable ability to interpret legal documents.
  • A degree from an accredited law school.
  • Incumbent to be a member of the Connecticut Bar Association and in good standing.   

Selection Plan

Applicants must meet the Minimum Qualifications as listed on the job opening and specify their qualifications on their application. Please ensure that your application is complete and you have included your resume in the “Resume Tab” of your application as you will be unable to make revisions once you officially submit your application into the JobAps system.  

Applicants invited to interview may be required to submit additional documentation supporting their qualification(s). These documents may include: performance reviews, supervisory references, college transcripts, licensure, etc. at the discretion of the agency.  

This posting may require completion of additional referral questions (RQ’s) which will be sent to you via email after the closing date.  The email notification will include an expiration date by which you must submit (Finish) your responses.  Please regularly check your email for notifications.  Please check your SPAM and or Junk folders, as emails could end up there in error.  

The minimum experience and training requirements must be met by the close date on the job opening, unless otherwise specified.  

Should you have questions pertaining to any phase of this recruitment, please contact the hiring agency's human resources office:  lorna.reid@ct.gov.

NOTE:  All State employees shall follow the guidelines as listed in Executive Orders  13F (3a) and 13G (3a) .

PURPOSE OF JOB CLASS (NATURE OF WORK)

Acts as an executive assistant to a state elective officer or department head as defined in Section 4-5 of the Connecticut General Statutes and performs such duties as are assigned.

PREFERRED QUALIFICATIONS

• Minimum five to ten years experience as a lawyer including the negotiation of sophisticated financial transactions, mergers and acquisitions work, public finance, custody work, structured finance – preferably representing institutional investors.
•  Knowledge of SEC, FINRA, MSRB, CFTC regulation and compliance.
• Experience advising fiduciaries.
• Understanding of corporate governance initiatives.
• Experience in drafting contracts and complex financial instruments.
• Ability to work independently and manage competing deadlines in a quick paced, challenging environment. • Excellent research skills.
• Willingness to provide flexibility with respect to work hours as needed.
• Exceptional oral and written skills; tenacious attention to detail.
• Ability to quickly learn clients’ operational needs and further ability to anticipate needs based upon this understanding.
• Ability to work on special projects as needed.
• Experience drafting, reviewing and negotiating complex agreements, , and advising business partners regarding laws and regulations regulating private funds and investments, researching and advising on administrative law issues.
• Experience advising clients as to compliance with all applicable law including ethics, FOIA, campaign finance, affirmative action plans; developing policies and procedures to comply with Federal and State requirements.

Conclusion

AN AFFIRMATIVE ACTION/EQUAL OPPORTUNITY EMPLOYER

The State of Connecticut is an equal opportunity/affirmative action employer and strongly encourages the applications of women, minorities, and persons with disabilities.



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The State of Connecticut is an Affirmative Action/Equal Opportunity Employer and strongly encourages the application of women, minorities and persons with disabilities.