Compliance Manager

US HoldCo; New York (NY); Hybrid; USD 150,000 - 210,000; Full time

Benefits offered by this job

Hybrid work model

Professional development

Career growth opportunities

Health benefits

Retirement savings

Volunteer opportunities

Competitive vacation

Job summary

Aviva Specialty in the United States is seeking a Compliance Manager to strengthen the second line of defense, reporting to the Head of Compliance, UK.

You will design and execute risk-based monitoring and testing, assess first-line controls, advise on regulatory requirements, and translate laws into practical policies and procedures across underwriting, claims, distribution, and operations.

Qualifications

• Minimum 5–8+ years in compliance, regulatory risk, audit, or legal within insurance/financial services.
• Experience designing and executing risk-based monitoring and testing programs.
• Strong knowledge of US insurance regulatory requirements and their application.
• Experience developing and implementing compliance policies, procedures, and controls.
• Solid understanding of the three lines of defense model and second-line oversight.
• Experience supporting regulatory examinations, inquiries, or internal audits.
• Strong analytical, written, verbal communication and stakeholder-influence skills.

Responsibilities

• Develop and implement a risk-based monitoring and testing plan; evaluate first-line controls.
• Provide guidance on regulatory matters and interpret policies for the business.
• Develop and maintain compliance policies, procedures, and controls; monitor regulatory changes.
• Support regulatory inquiries, examinations, and audits with prepared documentation.
• Deliver training and promote a culture of compliance across the organization.

Skills

5–8+ yrs exp

Risk-based monitoring

US insurance regs

Policy development

3LOD model

Regulatory examinations

Stakeholder communication

Education

Bachelor’s degree in Business, Law, Finance, Risk Management, Insurance, or related discipline, or equivalent professional experience

Job description

Experience Aviva Individually, we are people, but together we are Aviva. Individually, these are just words, but together they are our Values: Care, Commitment, Community, and Confidence. At Aviva, we help customers build resilience and move forward with confidence. We foster an inclusive workplace where diverse perspectives are valued, innovation is encouraged, and colleagues are empowered to grow their careers while making a meaningful impact. As we establish Aviva’s presence in the United States, we’re seeking talented individuals inspired to build, shape, and lead this new organization. Joining Aviva Specialty means stepping onto the ground floor of a thoughtfully designed Commercial Insurance organization built for the long term, blending underwriting heritage, disciplined execution, and capital strength with agility, innovation, and entrepreneurial thinking.

The Opportunity

As a Compliance Manager, you will serve as a key member of the Compliance function within the second line of defense, reporting to the Head of Compliance, UK and playing a significant role in establishing and maintaining an effective, risk-based compliance framework for Aviva Specialty in the U.S. You will design and execute compliance monitoring and testing, assess the effectiveness of first-line compliance controls, advise the business on regulatory requirements, and help translate laws, regulations, and industry standards into practical policies, procedures, and controls. The successful candidate combines strong technical compliance expertise, sound risk judgment, and a pragmatic, business-minded approach with the ability to provide independent challenge and influence outcomes across underwriting, claims, distribution, operations, finance, legal, and risk.

What You’ll Do

Compliance Monitoring & Testing

Develop and implement a risk-based approach to monitoring and assessing the effectiveness of the first line’s compliance program, including an annual compliance monitoring and testing plan. Conduct compliance monitoring, testing, and thematic reviews to evaluate the design and operating effectiveness of first-line controls and processes. Identify compliance gaps, control weaknesses, and areas of emerging risk; clearly document findings and recommend proportionate corrective actions. Collaborate with the first line to implement recommended improvements to the compliance program and track remediation activity through to completion. Ensure monitoring activities confirm compliance with applicable laws, regulations, and industry standards.

Compliance Risk Assessment & Advisory

Conduct compliance risk assessments across the business and recommend mitigating strategies to minimize identified risks. Provide clear, practical guidance and advice to the business on regulatory and compliance matters, including new products, processes, distribution arrangements, and business initiatives. Support the first line with the interpretation and application of policies, procedures, and regulatory requirements while maintaining appropriate second-line independence and challenge. Participate in projects and strategic initiatives as needed, ensuring compliance considerations are addressed early and effectively.

Policies, Procedures & Regulatory Change

Develop, implement, and maintain compliance policies, standards, and procedures aligned with applicable laws, regulations, and industry standards. Stay current on industry developments and regulatory requirements, monitoring regulatory change and assessing its potential impact on the business. Recommend and support changes to policies, procedures, and controls as necessary in response to new or evolving regulatory expectations. Communicate relevant regulatory developments to stakeholders and help embed required changes into business practices.

Regulatory Engagement, Audit Support & Reporting

Support the second line in responding to regulatory inquiries, examinations, and requests for information, including preparation of documentation and responses. Provide guidance and advice to the third line of defense in conducting audits and assessments related to compliance matters. Prepare clear, concise reports and presentations for senior management and governance forums, highlighting monitoring results, key risks, trends, and remediation status. Support remediation activities arising from regulatory reviews, compliance testing, or internal audit findings.

Training, Culture & Customer Outcomes

Develop and deliver training and learning programs to colleagues on compliance policies and procedures and on the application and interpretation of regulatory requirements. Promote a strong culture of compliance, accountability, and sound risk management across the organization. Support the delivery of good customer outcomes through all activities and deliverables, enabling Aviva Specialty to act in good faith toward customers, avoid causing foreseeable harm, and enable and support customers in pursuing their financial objectives. Consider customer impact and regulatory expectations when providing advice, conducting monitoring, and recommending improvements.

What You’ll Bring

• 5–8+ years of compliance, regulatory risk, audit, or legal experience within the insurance or financial services industry.
• Demonstrated experience designing and executing risk-based compliance monitoring and testing programs and conducting compliance risk assessments.
• Strong working knowledge of U.S. insurance regulatory requirements and the ability to interpret and apply laws, regulations, and guidance in a commercial business environment.
• Experience developing and implementing compliance policies, procedures, and controls.
• Solid understanding of the three lines of defense model and the role of second-line oversight and challenge.
• Experience supporting regulatory examinations, inquiries, or internal audits.
• Strong analytical, written, verbal, presentation, and stakeholder-influence skills, with the ability to communicate complex regulatory matters clearly at all levels of the organization.
• Bachelor’s degree in Business, Law, Finance, Risk Management, Insurance, or related discipline, or equivalent professional experience.

Preferred Qualifications

• Experience within property & casualty and/or specialty commercial insurance.
• Relevant professional designations such as AIRC, CCEP, CRCM, CPCU, ARM, or a JD.
• Familiarity with excess and surplus lines, admitted markets, and delegated authority or program arrangements.
• Experience developing or delivering compliance training programs.
• Experience supporting the build or expansion of a compliance function or new insurance platform.

What You’ll Gain

• Competitive base salary ranging from $150,000 - $210,000 depending on experience, qualifications, location, and market considerations.
• Compelling rewards package including base compensation, eligibility for an annual bonus, retirement savings, health benefits, and volunteer opportunities.
• Opportunity to help shape the compliance framework, policies, and culture of a newly established U.S. specialty insurance business.
• Flexible hybrid work model.
• Outstanding professional development and career growth opportunities.
• Competitive vacation package.

Travel Requirements

Up to 10% travel for team meetings, business partner engagements, training sessions, and industry or regulatory events.

Physical Requirements

This position is primarily performed in an office or remote work environment and requires prolonged periods of computer use, analysis of regulatory and business information, communication with internal and external stakeholders, and participation in virtual and in-person meetings.

Aviva Specialty welcomes applications from all qualified individuals and has a process in place to provide accommodations for persons with disabilities at all stages of the hiring process and during employment. If you require an accommodation during the interview or hiring process, please contact your Aviva Talent Acquisition Partner so that an appropriate accommodation can be arranged.

We help our 19.5 million customers to save for the future and manage the risks of everyday life. To give these customers the best possible products and service we know we must make Aviva the most attractive choice for talented, entrepreneurial people with diverse backgrounds and an evolving range of expertise and insight. So, we’re passionate about helping our 23,000 people to do the best work of their lives, to enable them to make a positive difference to the lives of our customers.