Remote Senior Investment Compliance Lead

American Family Insurance Agency Staff; Madison (WI); Remote; USD 113,000 - 194,000; Full time

Benefits offered by this job

Medical, dental, vision benefits

401(k) + pension plan

Annual incentive

9 paid holidays

23 days PTO

Student loan repayment

Paid-family leave

Job summary

American Family Investments is seeking a Senior Compliance Officer (Investment Compliance Specialist) to oversee daily monitoring, regulatory reporting, and the development of policies and procedures. The role collaborates with management, portfolio managers, operations, risk, and corporate legal to ensure SEC, FINRA, ERISA, and state insurance regulatory compliance.

This primarily home-based position offers a salary range of $113,000 to $194,000 and relocation support.

Qualifications

• Experience providing client-driven solutions and support.
• Deep understanding of securities trade lifecycle and compliance.
• Background in SEC/ERISA/state insurance regulations and AML/KYC.

Responsibilities

• Oversee daily monitoring, overnight alerts, and real-time pre-trade / intraday checks.
• Monitor policy compliance and report potential breaches to management.
• Coordinate with unaffiliated advisers and review certifications.
• Ensure timely regulatory certifications and prepare attestations.
• Maintain policies and procedures; test compliance programs annually.
• Manage technology, data flows, and Aladdin-related compliance tooling.

Skills

Securities compliance

Regulatory monitoring

Risk management

Communication skills

Attention to detail

Cross-functional collaboration

Education

Advanced degree in Business/Finance/Economics

Professional designation (CFA/CAMS) a plus

Tools

BlackRock Aladdin

Bloomberg AIM

Orion Compliance

StarCompliance

MyComplianceOffice

Job description

American Family Investments is seeking a Senior Compliance Officer (Investment Compliance Specialist) to oversee daily monitoring, regulatory reporting, and the development of policies and procedures. The role collaborates with management, portfolio managers, operations, risk, and corporate legal to ensure SEC, FINRA, ERISA, and state insurance regulatory compliance.

This primarily home-based position offers a salary range of $113,000 to $194,000 and relocation support.