Remote Senior Investment Compliance Officer
American Family Insurance Agency Staff
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Job summary
American Family Investments seeks a Senior Compliance Officer (Investment Compliance Specialist), primarily home-based in the United States, to oversee daily monitoring, policy adherence, and regulatory reporting. You will collaborate with management, PMs, risk, and legal teams to ensure SEC/FINRA/ERISA compliance and effective control environment.
The role supports audits, 13F/13G/N-PX filings, and is remote with occasional travel to engage with offices; salary range $113k–$194k, with
Qualifications
- Experience delivering client-driven solutions and service.
- Deep understanding of securities trade lifecycle across instruments.
- Background in Investment Advisers Act, 1940, SEC reporting, ERISA, OFAC/KYC.
- Familiarity with investment accounting and operations.
- Understanding of data flows and relational databases.
- Experience with buy-side compliance software (Aladdin, Bloomberg AIM, etc.).
- Advanced degree in business/finance; CFA/CAMS a plus.
Responsibilities
- Oversee monitoring and enforcement with real-time violations handling.
- Monitor and report potential policy breaches and conflicts of interest.
- Collaborate with unaffiliated advisers to ensure guideline compliance.
- Ensure annual regulatory certifications are completed before deadlines.
- Code tests in Aladdin; maintain its rule library for updates.
- Manage BlackRock relationship and support daily compliance workflows.
- Assist in administering the compliance program and training staff.
- Facilitate audits and prepare attestations for regulators and auditors.
- Prepare regulatory filings (13F, 13G, 13H, N-PX) timely and accurate.
- Provide thought leadership on industry best practices.
Skills
Education
Tools
Job description
American Family Investments seeks a Senior Compliance Officer (Investment Compliance Specialist), primarily home-based in the United States, to oversee daily monitoring, policy adherence, and regulatory reporting. You will collaborate with management, PMs, risk, and legal teams to ensure SEC/FINRA/ERISA compliance and effective control environment.
The role supports audits, 13F/13G/N-PX filings, and is remote with occasional travel to engage with offices; salary range $113k–$194k, with
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