Senior Compliance Officer, Investments Compliance

Location: Parsippany, New Jersey, United States; primarily in the office

Base salary: $160,000–$200,000 in New Jersey; bonus eligibility applies. Other posted ranges are $163,000–$204,000 in New York, $159,000–$199,000 in Chicago, and $160,000–$200,000 in Boston.

Company

Global commercial and personal insurance provider managing investment assets for affiliated insurance companies through internal and external managers.

What you will do

• Review and capture investment restrictions from guidelines, state insurance regulations, and reinsurance or trust agreements.
• Code, test, and implement restrictions in BlackRock Aladdin and Bloomberg, review compliance exceptions, and perform manual control testing.
• Conduct quarterly and ad hoc controls reviews for General Account and reinsurance mandates.
• Partner with the CIO, investment managers, Legal, Risk, Audit, Accounting, Technology, and Operations on interpretive and control-framework issues.
• Update compliance policies and procedures, provide training, and support regulatory filings including 13F, 13G/D, and 13H.
• Perform due diligence on external managers and lead special projects and ad hoc assignments.

Requirements

• At least three years of experience monitoring investment guidelines using BlackRock Aladdin, Charles River, Sentinel, Bloomberg AIM, or a similar system.
• Technical understanding of investment products, financial instruments, and exposure aggregation for compliance testing.
• Fixed income compliance experience is required.
• Working knowledge of New York, Delaware, and Pennsylvania insurance investment regulations and NAIC investment model laws.
• Strong attention to detail, communication skills, and ability to collaborate across control functions.
• Bachelor’s degree required.

Nice to have

• Experience with private credit, mortgage loans, private equity, real estate, or derivatives.
• Understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with manager-of-manager structures.

Culture & Benefits

• Primarily office-based environment emphasizing in-person collaboration.
• Benefits supporting health, wellbeing, financial security, and professional development.
• Continuous learning and development opportunities.
• Inclusive culture supported by cultural awareness activities and Employee Resource Groups.