Investment Compliance Manager - Chicago, IL (Hybrid)

About the role

The role of Compliance Manager at Allstate involves supporting and strengthening the Registered Investment Adviser (RIA) compliance program. Key responsibilities include:

• Supervising, developing, maintaining, and measuring investment compliance policies, procedures, and controls.
• Administering annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting and employee attestations.
• Managing critical compliance-related ad-hoc and special projects from inception to implementation.
• Making recommendations for new or revised procedures based on regulatory developments and industry changes.
• Monitoring client portfolios for compliance with investment policy and statutory investment limits, resolving potential exceptions, and administering compliance rules in the monitoring system.
• Reporting routine and complex compliance exceptions and materials to the Investments Chief Compliance Officer and senior leadership, and responding to in-depth questions.
• Preparing management and governance reports for senior Investment leaders and the Adviser’s Board of Directors regarding compliance program results and potential issues.
• Performing periodic risk assessments, reviews, and tests to ensure successful implementation of policies and procedures through surveillance, monitoring, and examinations.
• Guiding junior compliance staff in day-to-day and project-related activities.

Qualifications

The ideal candidate should have:

• 7+ years of experience in investment compliance, including policy development, monitoring, regulatory reporting, and risk assessment.
• Hands-on, detail-oriented approach with the ability to translate regulatory requirements into practical procedures, testing, training, and documentation.
• Closely partner with the Investments Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit to ensure compliance with SEC rules, firm policies, and regulatory expectations.

Skills

• Compliance
• Compliance Frameworks
• Compliance Policies
• Compliance Programs

Pay

$110,000 - $181,250 annually

Schedule

Hybrid work arrangement