Compliance Operations Director

Atlantic Group; Philadelphia (Philadelphia County); Hybrid; USD 150,000 - 185,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Job summary

Join a leading investment management company as a Compliance Operations Director in Philadelphia. This role involves managing compliance reporting, regulatory oversight, and enhancing data controls for a highly regulated portfolio. Ideal for those with extensive experience in investment compliance and a strong analytical mindset.

Qualifications

• 10+ years in investment compliance or statutory oversight.
• Strong understanding of RBC frameworks and compliance operations.
• Experience leading regulatory initiatives.

Responsibilities

• Produce investment-related RBC components and reconcile data.
• Ensure compliance with NAIC guidelines and maintain documentation.
• Oversee ratings for structured assets and maintain dashboards.

Skills

Analytical skills

Detail-oriented

Collaborative

Education

Bachelor’s degree in Accounting or Finance

Tools

Power BI

SQL

Clearwater

Alteryx

Job description

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This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$150,000.00/yr - $185,000.00/yr

Additional compensation types

Annual Bonus

Job Overview – Compliance Operations Director:

Compensation: $150,000 – $185,000/year + bonus

Location: Philadelphia, PA

Schedule: Monday to Friday (Hybrid)

Join our client’s team in Philadelphia, PA (Hybrid) as a Compliance Operations Director, leading compliance reporting, regulatory oversight, and investment data controls for a highly regulated portfolio. You’ll manage structured asset ratings, assess capital impacts of new investment strategies, and drive workflow automation using Power BI, Clearwater, SQL, and Alteryx. This role is ideal for professionals with deep experience in statutory accounting, insurance regulation, and compliance operations.

Responsibilities as the Compliance Operations Director:

• RBC Reporting & Optimization: Produce investment-related RBC components, reconcile data with accounting systems, and recommend capital optimization strategies.
• Statutory Compliance Oversight: Ensure accurate classification of assets per NAIC guidelines and maintain documentation for all compliance processes and reporting.
• SVO Ratings Management: Oversee ratings for structured and private assets, maintain dashboards, and ensure completeness of AVR and SVO schedules.
• Transaction Analysis: Assess capital treatment of new investment structures, including Schedule BA, reinsurance, and internal securitizations.
• Technology & Reporting: Use tools such as Clearwater, SQL, Power BI, and Alteryx to improve report accuracy, efficiency, and data integrity.
• Cross-Functional Collaboration: Work closely with senior leadership and industry stakeholders to stay current on evolving compliance requirements and risk metrics.

Qualifications for the Compliance Operations Director:

• Education: Bachelor’s degree in Accounting, Finance, Actuarial Science, or a related field required.
• Experience: 10+ years in investment compliance, risk-based capital reporting, or statutory investment oversight within a life insurance or investment firm.
• Technical Skills: Proficiency with Clearwater, CAMRA, PAM, Geneva, Power BI, Alteryx, SQL, and experience with automation tools and data integration.
• Industry Knowledge: Deep understanding of RBC frameworks, SVO processes, statutory accounting principles, and complex asset classification.
• Skills & Attributes: Strong analytical and detail-oriented mindset with a collaborative approach and experience leading regulatory initiatives and communicating with executives.

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

ID #44537

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing, Finance, and Other

• Industries

  Investment Management, Accounting, and Investment Banking

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

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