Vice President, Investment Compliance - Liberty Mutual Investments

Liberty Mutual•New York, NY

10h•Onsite

About The Position

The LMI Compliance team is looking for a compliance attorney/professional to assist with our control room function to support LMI’s scaling private investment activity. This role requires frequent interactions with our investment teams and partners and general understanding of this process - wall-crossing, conflicts checks, company research, non-disclosure agreements, and documentation/monitoring in our systems.

Requirements

At least a bachelor’s degree and 5 or more years of relevant investment, compliance or legal experience
Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors
Desire to expand knowledge of regulatory/legal/compliance topics applicable to the asset management and insurance industries
Strong verbal and written communication skills
Strong ethical character; poise and confidence to interact with wide range of colleagues; collegial team player

Nice To Haves

JD
control room experience
experience with deal-related non-disclosure agreements
Experience with and solid understanding of various asset classes and investment products
experience with private credit a plus

Responsibilities

Support LMI’s policies and processes to mitigate and manage potential conflicts arising from LMI’s public and private investment activity.
Monitor LMI deal pipeline, confer with deal teams as appropriate, and ensure appropriate tracking of potential transactions within LMI systems
Research potentially impacted public securities and issuers, as well as deal/company facts to support materiality determinations; validate ongoing review of developments and status
Support review, negotiation and execution of deal-related non-disclosure agreements
Help drive transition to new compliance control room platform; work with colleagues to ensure successful integration with LMI pipeline platform and migration of legacy data
Experience with control room / trading systems and related technology/data a plus (e.g., Aladdin, Dealcloud, MCO, Bloomberg, Pitchbook, CapIQ)
Support regulatory analysis on issues affecting LMI, including securities and insurance regulation matters.
Assist with LMI’s monitoring/tracking of applicable regulatory and industry developments; draft related summaries, guidance and proposed policy language as needed
Participate as needed in range of ad hoc and special projects with Compliance team and other LMI colleagues e.g., risk assessments, regulatory reporting, firm and corporate governance, etc.
Broad understanding of investment compliance programs (code of ethics, policies, testing, controls, etc.) in order to offer on-site compliance support.