Senior Compliance Officer, Investments Compliance
Job in
Lynn, Essex County, Massachusetts, 01910, USA
Listed on 2026-07-13
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-13
Job specializations:
-
Finance & Banking
Financial Compliance, Risk Manager/Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
Responsibilities
- Review and capture investment restrictions from investment guidelines, state insurance investment regulations and reinsurance/trust agreements
- Code, test and implement investment restrictions in Black Rock Aladdin and Bloomberg
- Review exceptions out of the compliance module and perform manual controls testing
- Perform ad-hoc/quarterly controls review specifically for the General Account and reinsurance mandates
- Interact/partner with CIO, investment managers, and Legal to ensure compliance with investment restrictions
- Serve as a strategic partner with other control function teams throughout the firm to advance the control framework
- Review and update compliance policies and procedures
- Provide training on compliance policies and procedures
- Collaborate within Legal on regulatory filings
- Perform compliance due diligence of external managers compliance programs
- Implement solutions to challenges and issues that are raised by stakeholders
- Scope and lead special projects and ad hoc assignments
- Minimum of 3 years of experience in guideline monitoring using Black Rock Aladdin, Charles River, Sentinel, Bloomberg AIM, or a similar system
- Technical understanding of investment products and financial instruments
- Fixed income compliance experience is required
- Exposure to private credit, mortgage loans, private equity, real estate and derivatives is a plus
- Working knowledge of NY, DE and PA U.S. State insurance investment regulation
- Background understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus
- Familiarity with manager‑of‑manager structures
- Bachelor’s degree required
Position Requirements
10+ Years
work experience
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