Remote Senior Compliance Officer – Investment Compliance

American Family Insurance Agency Staff; Boston (MA); A distancia; USD 113.000 - 194.000; Jornada completa

Descripción de la vacante

American Family Investments seeks a Senior Compliance Officer (Investment Compliance Specialist), primarily home-based in the United States. The role collaborates with Management, Portfolio Managers, Risk, and Legal to monitor the compliance program and support audits, certifications, and due diligence.

Compensation ranges from $113,000 to $194,000 annually, with relocation support and a fully remote work option. Expect ongoing regulatory education and strong cross-functional partnership.

Formación

• Experience designing/executing compliance policies and procedures.
• Knowledge of SEC, FINRA, ERISA, OFAC, state insurance regulations.
• Understanding of Investment Advisers Act of 1940 and related rules.
• Familiarity with buy-side compliance software systems.

Responsabilidades

• Oversee daily monitoring and enforcement activities for accounts and rules.
• Monitor and report potential policy breaches and conflicts of interest; ensure regulatory compliance.
• Review unaffiliated advisers' certification questionnaires and findings.
• Ensure timely regulatory filings (e.g., Form 13F, Schedule 13G, Form 13H, Form N-PX).
• Maintain and update firm-wide policies, procedures, and testing.
• Code tests in BlackRock Aladdin and maintain rule libraries.
• Coordinate with Legal, Internal Controls/Audit, and external managers.
• Support audits, attestations, and regulator inquiries.

Conocimientos

Securities compliance

Regulatory knowledge

Investments experience

Policy development

Risk management

Project management

Communication skills

Technology & data systems

Aladdin/Bloomberg knowledge

Portfolio compliance

Educación

Advanced degree in Business/Finance/Economics

Herramientas

BlackRock Aladdin

Bloomberg AIM

Orion Compliance

StarCompliance

MyComplianceOffice

Descripción del empleo

American Family Investments seeks a Senior Compliance Officer (Investment Compliance Specialist), primarily home-based in the United States. The role collaborates with Management, Portfolio Managers, Risk, and Legal to monitor the compliance program and support audits, certifications, and due diligence.

Compensation ranges from $113,000 to $194,000 annually, with relocation support and a fully remote work option. Expect ongoing regulatory education and strong cross-functional partnership.