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The asset management division of a major international financial services firm seeks a Chief Compliance Officer (CCO) to lead the Compliance program for the company's $500 billion portfolio within the Chief Investment Office ("CIO").
The CIO is responsible for developing the asset allocation strategy and overseeing asset/liability management for their insurance businesses. The CIO oversees:
the global portfolio management of the proprietary assets supporting insurance liabilities in the firm's general account as well as Guaranteed Separate Accounts,
Derivatives activities from Asset Liability Management and Portfolio Management to trading and execution; and alternative asset investing activities, including private equity, real estate, hedge funds and equity securities
In addition, the role will support the Corporate Social Responsibility Group.
This position will be responsible for the design and implementation of a highly effective, risk-based compliance program.
The position is part of the Compliance Organization and will manage a small team.
Building and implement a proactive, strategic compliance program that is risk-based, and data driven.
Developing a strategic approach to compliance which is proactive and preventative.
Driving enhancements to existing compliance program including governance and reporting.
Develop change management and communication strategies to ensure a culture of continuous improvement, teamwork, and the sharing of best practices.
Monitoring regulatory developments for alternative fund investing in the United States and Europe and providing real-time assessments of our portfolio.
Developing and implementing compliance due diligence program to evaluate private fund trading, allocation, and fee and expense practices.
Advising on the regulatory requirements of financial services firms in which we invest.
Performing due diligence review of the compliance programs of asset managers on the CIO platform, including reviewing compliance manuals and testing programs.
Monitoring and testing the trading activities of the company's centralized derivatives trading unit and cash management unit.
Developing integrated monitoring tools for portfolio compliance monitoring for the proprietary assets supporting insurance liabilities in the general account and Guaranteed Separate Accounts.
Assessing compliance risk and operating a compliance monitoring and testing program appropriately tailored to the risk of the business activities.
Providing training to CIO staff.
Monitoring actual and potential conflicts of interest.
Drafting policies and procedures.
Developing talent and maximizing team effectiveness.
Driving alignment and consistencies across the company's compliance programs and initiatives.
Establishing and maintaining strong relationships with business and other Compliance partners as well as Legal, Risk, and Audit.
12+ years of relevant financial service compliance or regulatory enforcement experience.
Technical compliance expertise with superior knowledge, skills and experience in compliance risk management
Significant experience conducting compliance due diligence on and monitoring compliance programs of investment managers.
Knowledge of cash market securities and alternative assets including hedge funds, private equity and real estate.
Knowledge of derivatives regulation, including Dodd Frank Title VII and state insurance regulatory related compliance matters.
Experience working in an asset management firm or insurance company. Knowledge of insurance general account portfolio management a plus.
Strong knowledge of investment management and related regulations, including ability to identify requirements related to regulatory changes.
Bachelor's degree or equivalent experience required. JD, MBA or advanced degree preferred
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com
Internal Number: 6244884
About The Compliance Search Group, LLC
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