About this role
Role Overview
- The Compliance Officer will summarize findings and their assessment of the manager in a report that is presented to the Investment Committee.
- The Compliance Officer will research the laws, rules, and requirements of the manager’s applicable foreign jurisdiction and adapt the due diligence process to evaluate the manager on the applicable risks.
- The Compliance Officer will be responsible for the ongoing execution of various “run the firm” compliance routines aligned with requirements of the SEC, FCA, and state insurance regulators.
- Regular interaction with portfolio managers, operations, legal, other members of the Investments compliance team, and staff of third-party investment managers.
Requirements
- Must have at least 10 years of experience executing compliance routines related to a registered investment adviser
- Experience with private equity as an asset class is ideal, but not required
- Experience with public fixed income or private investments will be beneficial
- Must be highly organized and able to manage mapping written responses to a 100+ question DDQ to voluminous policy and procedure manuals
- Must be proficient in business writing skills and able to describe operational and compliance risk in a written report to an audience who are not experts in compliance
- Must be proficient in MS Word and Excel
- Must be able to meet deadlines with competing priorities.
- High degree of intellectual curiosity and willingness to self-learn through reading regulatory releases and publications, inquiring with business and process owners, and applying past experiences from similar scenarios to current tasks and challenges
- Ability to execute with independence, knows “what to do next” without instruction
- Ability to confront conflict and difficult issues in a professional, assertive, collaborative and proactive manner
- Ability to work as a team, share knowledge and coordinate amongst peers to achieve a common goal
- Highly organized, with the ability to verify, inspect, and record documentation supporting results and disposition of matters.
Benefits
- We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
- We offer retirement benefits options, which vary by location.
- In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
- Confidential counseling services and resources are available to all employees.
- Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
- Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
- Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.