Investments Compliance Officer – Manager Due Diligence & Oversight Compliance Officer

Corebridge Financial • Houston, TX

8d • Hybrid

About The Position

Corebridge’s Investments Compliance team is seeking an experienced Compliance Officer to join in the execution of the compliance program. This role involves conducting operational and compliance due diligence (ODD) on third-party investment managers and managing/executing the compliance program over the manager-of-managers team. The Compliance Officer will summarize findings and their assessment of the manager in a report presented to the Investment Committee. In some instances, 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. Additionally, 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. This role has potential scope for assignment of additional responsibilities and routines that are aligned with the candidate’s aptitude, background, or desire for career progression. All elements of this role will require regular interaction with portfolio managers, operations, legal, other members of the Investments compliance team, and staff of third-party investment managers.

Requirements

• At least 10 years of experience executing compliance routines related to a registered investment adviser.
• Proficiency in business writing skills and ability to describe operational and compliance risk in a written report to an audience who are not experts in compliance.
• Proficiency in MS Word and Excel.
• Ability 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.

Nice To Haves

• Experience with private equity as an asset class.
• Experience with public fixed income or private investments.
• Understanding of the fundamentals of a registered investment adviser’s compliance program and other applicable laws, rules, and regulations.
• Understanding of the middle and back-office operational functions of private fund managers, particularly private equity managers.
• Comfortable corresponding with, asking questions of, and challenging, when necessary, third-parties in one-on-one interactions.
• Self-starter eager to learn by proactively engaging business unit colleagues to learn the nuances of their asset classes and design the AML & Economic Sanctions program accordingly.
• Ability to think beyond individual tasks to consider past/related “lessons learned” to ultimately be successful.

Responsibilities

• Conducting operational and compliance due diligence (ODD) on third-party investment managers.
• Managing and executing the compliance program over the manager-of-managers team.
• Summarizing findings and assessment of managers in a report for the Investment Committee.
• Researching laws, rules, and requirements of a manager’s applicable foreign jurisdiction and adapting the due diligence process.
• Ongoing execution of various “run the firm” compliance routines aligned with SEC, FCA, and state insurance regulator requirements.
• Potential assignment of additional responsibilities and routines aligned with candidate’s aptitude, background, or desire for career progression.
• Regular interaction with portfolio managers, operations, legal, other members of the Investments compliance team, and staff of third-party investment managers.

Benefits

• Range of medical, dental and vision insurance plans.
• Mental health support and wellness initiatives.
• Retirement benefits options.
• In the U.S., a 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).
• Confidential counseling services and resources through the Employee Assistance Program.
• Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
• Up to 16 volunteer hours annually for Volunteer Time Off.
• At least 24 Paid Time Off (PTO) days.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed