Senior Regulatory Compliance Officer

MetLife, Inc. • Whippany, NJ

41d • $90,000 - $140,000 • Hybrid

About The Position

Compliance Risk Management (CRM) delivers a compliance risk framework that enables the businesses and functions to comply with applicable internal and external rules and regulations, maintain risk levels within MetLife's risk appetite, and integrate ethics and compliance principles across MetLife. Within CRM, the Investments Compliance department provides oversight and coverage to MetLife Investment Management (MIM), MetLife's institutional investment management business with over $600 billion of total assets under management. Investments Compliance is seeking an engaged, detail oriented, and self-motivated Compliance Officer to join the team. The Compliance Officer will be primarily responsible for key regulatory compliance activities including regulatory filings, regulatory change management, licensing and registration, and core regulatory compliance programs. This role will work closely with the MIM Operations, Investments, Finance, and Legal teams, serving as a key partner and advisor to the business.

Requirements

• 7+ years of compliance experience, including experience preparing regulatory filings across multiple legal entities and jurisdictions
• In-depth knowledge of relevant rules and regulations, including the Advisers Act
• Exceptional organizational skills and meticulous attention to detail
• Excellent written and verbal communication skills, including the ability to provide constructive challenges to the business when necessary
• Ability to think proactively and make recommendations and complex decisions, and to anticipate regulatory needs and expectations
• Excellent interpersonal skills required to develop partnerships and relationships throughout the organization; experience interfacing with senior leaders and the business to provide guidance with respect to compliance matters while accomplishing business objectives
• Undergraduate degree required; advanced degree preferred.

Responsibilities

• Manage end-to-end processes for key regulatory filings for MIM's legal entities, including Form ADV, Form PF, AIFMD Filings, Section 13 and 16 filings, CPO / CTA registrations, and OSC filings
• Manage MIM's regulatory change management program, including impact assessment of new and changing regulations and oversight of implementation plans
• Support the annual Compliance review process and preparation of 206(4)-7 report
• Administer MIM's custody compliance program by conducting custody analyses and providing Compliance oversight of surprise examination
• Assess and monitor MIM's lobbying activities, and manage any related registrations and filing requirements
• Conduct Compliance review of key vendor / third party relationships and assessment of potential regulatory implications
• Conduct risk-based monitoring and testing, and provide review and challenge during first-line risk assessment processes
• Partner with other teams to ensure appropriate oversight, monitoring, and recordkeeping practices
• Maintain certain MIM policies and procedures, including those related to regulatory filings, regulatory change management, custody, lobbying, and political contributions
• Provide other ad hoc compliance support to the broader Investments Compliance team

Benefits

• Our U.S. benefits address holistic well-being with programs for physical and mental health, financial wellness, and support for families.
• We offer a comprehensive health plan that includes medical/prescription drug and vision, dental insurance, and no-cost short- and long-term disability.
• We also provide company-paid life insurance and legal services, a retirement pension funded entirely by MetLife and 401(k) with employer matching, group discounts on voluntary insurance products including auto and home, pet, critical illness, hospital indemnity, and accident insurance, as well as Employee Assistance Program (EAP) and digital mental health programs, parental leave, volunteer time off, tuition assistance and much more!

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Insurance Carriers and Related Activities
• Number of Employees: 1,001-5,000 employees