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Job Details

Investment Compliance Manager

New York City, NY, United States

Posted on
Dec 03,2019

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Aflac Global Investments
We are the Duck. We inspire and are inspired, listen and respond, empower our people, give back to our community and, most importantly, celebrate every success along the way. We do it all The Aflac Way.
Aflac, a Fortune 200 company, is an industry leader in voluntary insurance products that pay cash directly to policyholders and one of Americas best-known brands. Aflac has been recognized by Fortune magazine as one of the 100 Best Companies to Work For in America for 18 consecutive years, one of the Best Workplaces for Millennials in 2015 (the inaugural year of the award) and one of Americas Most Admired Companies for 15 years.
Our business is about being there for people in need. So, ask yourself: Are you the Duck? If so, there's a home ” and a flourishing career ” for you at Aflac.
The Company
Aflac Global Investments
The Location
New York, NY
The Division
Legal & Regulatory - Investment Compliance
The Opportunity
Assistant Vice President, Investment Compliance Manager
Job Summary
Within Aflac's Global Investment Division, the Investment Compliance Manager is a member of the New York Compliance team. The position require expertise in the business and compliance concepts, along with the ability to reason, recommend, and gain compromises that enhance the value of Global Investments Compliance function. Oversight of the daily monitoring of automated dash board, surveillance, regulations, and data management responsibilities while ensuring adherence to the Investment Compliance guidelines, policies, and procedures. In addition to the daily responsibilities described below; the Investments Compliance Manager will also work on Compliance related projects and help to support communications with colleagues in Columbus, GA (Corporate) and Japan Compliance teams.
Key Relationships
Reports to: Director, Investment Compliance Officer
Primary Support: Multiple functions in support of Compliance functions
Other Relationships: Columbus and Japan Compliance, Trader Operations, Risk, Trading, Portfolio/Investment, IT, Investment Accounting, Human Resources, and other key stakeholders
Principal Duties & Responsibilities
Ensure mandated guidelines are translated into formats that can be coded into monitoring systems and accurately reflect trading restrictions for the particular client account
Monitor and recommend appropriate controls to cover non-programmable guideline restrictions on a timely basis
Coordinate the breach investigation process and management reporting
Responsible for the override process and management reporting of overrides
Contribute to the analysis of client Investment Management Agreements (IMAs) and seeking clarification of guidelines from the business where necessary
Perform analysis of the data requirements on appropriate systems
Maintain the system(s) from the account on-boarding process forward
Investigate all breaches that occur and report on each.
Contribute to the construction of procedures and controls in relation to trade guideline monitoring
Lead and/or assist with projects for the implementation of version enhancements
Monitor developments with the NAIC, SEC, Japan FSA, State DOI's and CFTC as they relate to the Investment function.
Provide research on investment compliance related issues.
Assist in the development and implementation of all relevant Investment Compliance policies and procedures.
Provide guidance on permissible investment and transaction-related activities.
Work closely with Aflac Global Investments Operations and Risk teams
Work to limit regulatory and reputation risk of Aflac and help to reinforce Aflac Global Investment's culture within Compliance.
Manager and Conduct transactional and forensic Compliance testing
Assist in the preparation of management and committee reports
Conduct compliance training sessions
Education & Experience
Bachelor's degree, MBA, CFA, JD, Compliance Certification Preferred
Minimum of 10 years of experience in Insurance Industry Compliance, particularly with SEC, State DOI's, NAIC, or FSA matters
Job Details
Date Posted
December 3, 2019
Date Closes
January 2, 2020
Located In
New york, NY
SOC Category

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