Responsibilities:
Design, implement, and maintain a comprehensive compliance program for investment advisory activities over the general account in alignment with the National Association of Insurance Commissioners (NAIC) Investments of Insurers Model Act, Iowa Code Chapters 508/511, and New York Insurance Law.
Establish and maintain written policies and procedures covering investment advisory, portfolio management, trading, conflicts of interest, personal trading, material nonpublic information (MNPI), information barriers, and post-trade compliance.
Provide independent compliance oversight to ensure adherence to applicable laws, regulations, and internal policies.
Oversee and evaluate compliance monitoring and testing activities across investment functions, including the annual review of the derivatives use plan.
Identify, escalate, and track remediation of compliance issues, regulatory findings, and control gaps.
Partner with Legal, Risk Management, Internal Audit, and Enterprise Compliance to ensure alignment across the three lines of defense.
Serve as a strategic compliance partner to senior investment leadership, fostering a culture of compliance, risk awareness, and ethical conduct.
Lead, develop, and mentor compliance professionals, promoting accountability, performance, and continuous improvement.
Drive efficiency and effectiveness through process improvements, data analytics, and technology-enabled compliance solutions.
Qualifications:
Bachelor’s degree or equivalent experience
12 years of asset management compliance experience
Expertise in investment compliance, including innovative investment strategies such as private equity, real estate, infrastructure, and alternative credit
Strong analytical and problem-solving skills
Strong leadership and management skills
Excellent interpersonal and written and verbal communication skills
Ability to influence and collaborate with senior executives, investment professionals, and external stakeholders
Ability to navigate ambiguity and drive results in a fast-paced environment
Aptitude with technology and compliance operations
Preferred Qualifications:
Juris Doctor
MBA
Working Conditions:
Hybrid office environment: Baltimore/Cedar Rapids/Denver/Philadelphia
Moderate travel for business meetings, conferences, and related activities
Compensation:
The Salary for this position generally ranges between $212,000 - $225,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
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This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.
Disclaimer:
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Official offers are sent via DocuSign following a verbal offer—not through text or email.