Job Description :
This position works closely with the Chief Investment Officer, Portfolio Managers, and corporate enterprise Compliance, Internal Control and Audit groups to assess and monitor Compliance in the American Family Insurance portfolio of investments. Responsible for leading all Compliance efforts, including but not limited to, daily compliance monitoring, audits, examinations, inquiries, reporting/certifications, due diligence meetings, and the development and maintenance of policies & procedures.
• Prefer candidates that have experience in Investment Compliance, specifically on the “buy-side” and some legal background.
Relocation assistance is available
Surveillance and Enforcement (50%)
•Responsible for leading the Investment Compliance Team.
•Responsible for overseeing daily Overnight Compliance on internally and externally managed separate accounts, and addressing any violations in a timely manner.
•Responsible for overseeing daily Pretrade Compliance on internally managed separate accounts and addressing violations as they occur real-time throughout the trading day.
•Ensure compliance with all applicable Federal (ERISA, SEC, NASD) and/or State regulations.
•Responsible for monitoring and reporting to management any potential Investment Policy violations and any other conflicts of interest that would result in unfair or illegal trading practices.
•Responsible for overseeing the rule coding process to ensure that rules are coded and functioning properly in BlackRock Aladdin.
•Provide ad hoc support to CIO, portfolio managers, and other departments on investment compliance requests.
•Provide thought leadership on industry best practices for compliance and educate the Investments team on new regulatory developments as they arise.
•Provide compliance oversight of external managers.
•Oversee annual State Certification for Homesite portfolios.
Compliance Program (50%)
•Partner with corporate enterprise Compliance and Internal Controls/Audit to develop, implement, and enforce Policies and Procedures within the Investments Division.
•Lead the Investment Division in all internal or external examinations and audits.
•Lead annual IMA reviews, portfolio risk assessments, and annual due diligence meetings with external managers to detect any Compliance Program deficiencies and/or risks to American Family Insurance.
•Perform mock audits of the Investments Division to determine the vulnerability of the business and assess material or systemic weaknesses and potential product-related risks.
•Continuously review and maintain Policies and Procedures in light of new developments in trading strategies, technology, guidelines, regulations, and/or daily workflows.
•Develop a standardized process for external managers` periodic compliance reporting and due diligence meetings.
Contact Name: Mollie Rud
Contact Email: email@example.com
Phone Number: 608-242-4100
City: 6000 American Parkway