Investments Compliance Officer – Manager Due Diligence & Oversight Compliance Officer

Corebridge Financial•Jersey City, NJ

18h•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 will involve 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 foreign jurisdiction laws, rules, and requirements applicable to the manager and adapt the due diligence process to evaluate the manager on applicable risks. Additionally, the Compliance Officer will be responsible for the ongoing execution of various "run the firm" compliance routines aligned with SEC, FCA, and state insurance regulator requirements. This role offers potential scope for additional responsibilities and routines 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.
Highly organized and able to manage mapping written responses to a 100+ question DDQ to voluminous policy and procedure manuals.
Proficient in business writing skills and able to describe operational and compliance risk in a written report to an audience who are not experts in compliance.
Proficient in MS Word and Excel.
Able 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.
Comfortable corresponding with, asking questions of, and challenging, when necessary, third-parties in one-on-one interactions.
Understands the fundamentals of a registered investment adviser’s compliance program and other applicable laws, rules, and regulations, and uses this knowledge to evaluate the effectiveness of a third-party manager’s Compliance program.
Understands the middle and back-office operational functions of private fund managers, particularly private equity managers.

Nice To Haves

Experience with private equity as an asset class.
Experience with public fixed income or private investments.

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 foreign jurisdiction laws, rules, and requirements applicable to managers and adapting due diligence processes.
Ongoing execution of "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 career progression desires.
Regular interaction with portfolio managers, operations, legal, other members of the Investments compliance team, and staff of third-party investment managers.