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American Family Insurance.

Head of Investment Compliance (buy-side)

American Family Insurance. - Madison, WI

imp.php?publisher=5c2760f7c8f999c2ad4eaa4ff******f&rssjobid=58341&rssurlid=-4 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.Primary AccountabilitiesSurveillance and Enforcement Responsible for leading the Investment Compliance Team.Responsible foroverseeing daily Overnight Compliance on internally and externally managed separate accounts, and addressing any violations in a timely manner.Responsible foroverseeing 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 tomanagement 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.Overseeannual State Certification for Homesite portfolios.Compliance Program 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.Leadannual 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.Strategies Linked to the Divisions Business Goals/Results Establishes, communicates, and implements departmental plans, objectives, and strategies.Participates as a member of the Management Team.Maintains an active awareness of American Familys business environments, corporate culture, and structure to support key decision-making.Management/Leadership for Department or Unit Manages direct reports, systems, and projects to achieve department/unit goals in accordance with Company policies and practices.Prepares and analyzes department/unit plans and reports.Provides leadership by exhibiting influence and expertise, thus affecting the results of the operating area.Creates an effective work environment by developing a common vision, setting clear objectives, expecting teamwork, recognizing outstanding performance, and maintaining open communications.Develops staff through coaching, providing performance feedback, providing effective performance assessments, and establishing performance & development plans.

Job Type

Permanent

Job Reference

429385195

5 days 19 hours ago

American Family Insurance.

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Head of Investment Compliance (buy-side) American Family Insurance. - Madison, WI, United States

   

Location: Madison, WI

Company Profile:
For more than 80 years, American Family Insurance has given its customers peace of mind by making their insurance experience easy and convenient. Our caring agents strive hard to meet customers' unique needs by offering just the right mix of American Family's auto, home, life*, umbrella, business, health, and farm & ranch insurance, as well as retirement* products. Located throughout our 19 operating states, American Family's independent contractor agents serve as local, expert and trusted advisors to our customers. They get to know you like family.