Senior Investment Compliance Officer (Remote)
American Family Insurance Agency Staff
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Benefits offered by this job
Job summary
American Family Investments seeks a Senior Compliance Officer (Investment Compliance Specialist) focused on home-based work in the United States. You will monitor compliance, coordinate with investment teams, and ensure adherence to SEC/FINRA/ERISA and state regulations. Role includes audits, reporting, policy development, and vendor coordination.
The position offers salary of $113,000.00 - $194,000.00 with relocation support and remote flexibility across the U.S.
Qualifications
- Strong knowledge of SEC/FINRA/ERISA/state regulations.
- Experience in monitoring and testing compliance programs across investment portfolios.
- Ability to review and certify regulatory filings and reports.
Responsibilities
- Oversee daily overnight exception alerts and real-time monitoring of accounts.
- Report potential policy breaches to Compliance Manager and address conflicts of interest.
- Coordinate with unaffiliated advisers to ensure adherence to investment guidelines.
- Ensure timely regulatory certifications and filings and maintain documentation.
- Assist in reviewing and updating firm-wide policies and procedures and conduct annual testing.
- Manage Aladdin rule libraries and ensure alignment with current laws and guidelines.
- Support the compliance daily workflow by troubleshooting systems issues and inquiries.
- Provide training on the Code of Ethics and maintain compliance records.
Skills
Education
Tools
Job description
American Family Investments seeks a Senior Compliance Officer (Investment Compliance Specialist) focused on home-based work in the United States. You will monitor compliance, coordinate with investment teams, and ensure adherence to SEC/FINRA/ERISA and state regulations. Role includes audits, reporting, policy development, and vendor coordination.
The position offers salary of $113,000.00 - $194,000.00 with relocation support and remote flexibility across the U.S.
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