Senior Compliance Officer, Investments Compliance
CLM Dallas Chapter · Parsippany, NJ · 4 wk ago
Legal$163k–$204k/yrFull-time
We need to output HTML fragment with sections: About the role (position summary), Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections that have real specific content.
We need to parse the posting.
Position Summary: The paragraph after "Position Summary". That's about the role.
Responsibilities: The bullet list of duties: "Review and capture investment restrictions...", etc. Those are responsibilities.
Requirements: Minimum of 3 years experience..., Technical understanding..., Fixed income compliance experience..., Working knowledge..., Familiarity..., Strong work ethic..., Bachelor's degree required.
Qualifications: Might overlap with requirements; but we can treat "Requirements" as qualifications. However we need separate sections only if content distinct. The posting has "Position Requirements" which includes experience, technical understanding, etc. Also "Bachelor's degree required." Could be qualifications. There's no separate "Qualifications" heading. We could put qualifications under Requirements or separate if we think there is content. The posting also mentions "Functional Area CP - Compliance AIG Employee Services, Inc." maybe metadata.
Skills: Could be extracted from requirements: technical understanding, attention to detail, communication, etc. But we may combine.
Benefits: The posting mentions "In addition, we're proud to offer a range of competitive benefits, a summary of which can be viewed here: US Benefits Overview." Also later: "Enjoy Benefits That Take Care Of What Matters At AIG, our people are our greatest asset... Total Rewards Program..." So we have benefits description. We can include Benefits section with that prose.
Pay: The posting includes salary ranges: "The base salary range for this position in New York, NY is $163,000-204,000, in New Jersey and Boston MA is $160,000-$200,000, and $159,000-$199,000 in Chicago, the position is eligible for a bonus..." So we have Pay section.
Schedule: The posting mentions "At AIG, we value in-person collaboration as a vital part of our culture, which is why we ask our team members to be primarily in the office." That's schedule info (primarily in-office). So we can include Schedule section.
We must not repeat job title as heading. No Job ID etc.
We must not include boilerplate like EEO, legal, etc. Remove those.
We must not include duplicated lines.
We must preserve all substantive information.
We need to use for section headings. Use
for section headings. Use - for any list of duties/requirements/benefits. Use
for prose.
We need to decide which content goes into lists.
Responsibilities: list of duties (multiple sentences). We'll make each duty a
- .
Requirements: list of requirements (experience, technical understanding, etc.) as
- .
Skills: maybe we can list skills like attention to detail, communication, etc. But we could incorporate into Requirements. However we need to avoid thin sections. Perhaps we combine Requirements and Skills into one section? But the instruction says use headings for those categories if content exists. We have content for Requirements (experience, technical understanding, etc.) and also for Skills (attention to detail, communication). Could split.
But we need to avoid filler. We'll create sections: About the role (summary), Responsibilities, Requirements, Skills, Benefits, Pay, Schedule.
We need to ensure we don't create empty sections.
Now extract content.
About the role: The paragraph after "Position Summary": "AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG's Investments group, along with assisting in the oversight of external managers. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program."
That's the summary.
Responsibilities: list each duty sentence after that until "Position Requirements". Let's extract:
- Review and capture investment restrictions from investment guidelines, state insurance investment regulations and reinsurance/trust agreements.
- Code, test and implement investment restrictions in BlackRock 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, including coordinating on interpretive issues.
- Serve as a strategic partner with other control function teams throughout the firm (Legal, SOX/Audit, Investment Accounting, Technology, Operations, and Risk) 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 (13F, 13G/D, 13H, etc.).
- 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.
That's the list.
Requirements: from "Position Requirements" paragraph:
- Minimum of 3 years of experience in guideline monitoring using BlackRock Aladdin, Charles River, Sentinel, Bloomberg AIM, or a similar system.
- Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing.
- Fixed income compliance experience is required, and 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, along with NAIC Model Laws ??? Investments of Insurers Model Act; 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.
- Strong work ethic with great attention to detail and ability to communicate effectively.
- Bachelor's degree required.
We could split some into Skills: attention to detail, communication, work ethic. But we can keep them in Requirements.
Skills: maybe we can list: attention to detail, effective communication, strong work ethic, analytical thinking (implied). But we might not need separate Skills if we already covered.
But the instruction: "Use
for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule)." So we can include Skills if we have content. Let's extract skills: "Strong work ethic with great attention to detail and ability to communicate effectively." That's a skill set. Also "Technical understanding..." maybe skill. But we could keep them under Requirements and not create Skills section to avoid thin.
But we need to decide: The posting includes "Position Requirements" which includes both experience and skills. It's okay to have only Requirements section and not Skills.
Qualifications: Not separate.
Benefits: We have paragraphs: "In addition, we're proud to offer a range of competitive benefits, a summary of which can be viewed here: US Benefits Overview." Then later: "Enjoy Benefits That Take Care Of What Matters At AIG, our people are our greatest asset. We know how important it is to protect and invest in what's most important to you. That is why we created our Total Rewards Program, a comprehensive benefits package that extends beyond time spent at work to offer benefits focused on your health, wellbeing and financial security???as well as your professional development???to bring peace of mind to you and your family."
We can combine into a prose paragraph describing benefits. Could also list specific benefits? Not given. So we will put a
summarizing.
Pay: Salary ranges and bonus eligibility. We'll put in
.
Schedule: "At AIG, we value in-person collaboration as a vital part of our culture, which is why we ask our team members to be primarily in the office. This approach helps us work together effectively and create a supportive, connected environment for our team and clients alike." We'll put in
.
Now we need to output HTML fragment only, no /. Use
headings.
We must not include any markdown fences.
Let's craft.
Structure:
About the role
...
Responsibilities
- ...
...
Requirements
- ...
...
Benefits
...
Pay
...
Schedule
...
Check for any duplicated lines: Ensure we didn't repeat.
Now write the content precisely.
About the role paragraph: Use exactly the summary sentences.
Let's copy:
"AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG's Investments group, along with assisting in the oversight of external managers. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program."
Now Responsibilities list items as above.
Check each item for punctuation: keep as is.
Now Requirements list items:
- Minimum of 3 years of experience in guideline monitoring using BlackRock Aladdin, Charles River, Sentinel, Bloomberg AIM, or a similar system.
- Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing.
- Fixed income compliance experience is required, and 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, along with NAIC Model Laws ??? Investments of Insurers Model Act; 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.
- Strong work ethic with great attention to detail and ability to communicate effectively.
- Bachelor's degree required.
Note: The "???" appears in the original; we should preserve it? It's likely a formatting artifact. We should keep as is? The instruction: preserve ALL substantive information; do not invent or summarize away detail. The "???" is part of the original text; we should keep it. It's not substantive but it's there. We'll keep it.
Now Benefits paragraph: Combine both benefit paragraphs.
We need to avoid boilerplate like "US Benefits Overview" link? It's a link but we can mention "a summary of which can be viewed here: US Benefits Overview." That's substantive? It's a reference. We'll keep.
Thus Benefits paragraph:
"In addition, we're proud to offer a range of competitive benefits, a summary of which can be viewed here: US Benefits Overview. Enjoy Benefits That Take Care Of What Matters At AIG, our people are our greatest asset. We know how important it is to protect and invest in what's most important to you. That is why we created our Total Rewards Program, a comprehensive benefits package that extends beyond time spent at work to offer benefits focused on your health, wellbeing and financial security???as well as your professional development???to bring peace of mind to you and your family."
Note there are "???" again; preserve.
Now Pay paragraph:
"The base salary range for this position in New York, NY is $163,000-204,000, in New Jersey and Boston MA is $160,000-$200,000, and $159,000-$199,000 in Chicago, the position is eligible for a bonus in accordance with the terms of the applicable incentive plan. Your actual compensation will be dependent on your skills, experience, and qualifications. If your compensation expectations are above the posted range, we still encourage you to apply???
for prose. We need to decide which content goes into lists. Responsibilities: list of duties (multiple sentences). We'll make each duty a
for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule)." So we can include Skills if we have content. Let's extract skills: "Strong work ethic with great attention to detail and ability to communicate effectively." That's a skill set. Also "Technical understanding..." maybe skill. But we could keep them under Requirements and not create Skills section to avoid thin. But we need to decide: The posting includes "Position Requirements" which includes both experience and skills. It's okay to have only Requirements section and not Skills. Qualifications: Not separate. Benefits: We have paragraphs: "In addition, we're proud to offer a range of competitive benefits, a summary of which can be viewed here: US Benefits Overview." Then later: "Enjoy Benefits That Take Care Of What Matters At AIG, our people are our greatest asset. We know how important it is to protect and invest in what's most important to you. That is why we created our Total Rewards Program, a comprehensive benefits package that extends beyond time spent at work to offer benefits focused on your health, wellbeing and financial security???as well as your professional development???to bring peace of mind to you and your family." We can combine into a prose paragraph describing benefits. Could also list specific benefits? Not given. So we will put a
summarizing. Pay: Salary ranges and bonus eligibility. We'll put in
. Schedule: "At AIG, we value in-person collaboration as a vital part of our culture, which is why we ask our team members to be primarily in the office. This approach helps us work together effectively and create a supportive, connected environment for our team and clients alike." We'll put in
. Now we need to output HTML fragment only, no /. Use
headings.
We must not include any markdown fences.
Let's craft.
Structure:
About the role
...
Responsibilities
- ... ...
Requirements
- ... ...
Benefits
...
Pay
...
Schedule
...
Check for any duplicated lines: Ensure we didn't repeat. Now write the content precisely. About the role paragraph: Use exactly the summary sentences. Let's copy: "AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG's Investments group, along with assisting in the oversight of external managers. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program." Now Responsibilities list items as above. Check each item for punctuation: keep as is. Now Requirements list items: - Minimum of 3 years of experience in guideline monitoring using BlackRock Aladdin, Charles River, Sentinel, Bloomberg AIM, or a similar system. - Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing. - Fixed income compliance experience is required, and 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, along with NAIC Model Laws ??? Investments of Insurers Model Act; 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. - Strong work ethic with great attention to detail and ability to communicate effectively. - Bachelor's degree required. Note: The "???" appears in the original; we should preserve it? It's likely a formatting artifact. We should keep as is? The instruction: preserve ALL substantive information; do not invent or summarize away detail. The "???" is part of the original text; we should keep it. It's not substantive but it's there. We'll keep it. Now Benefits paragraph: Combine both benefit paragraphs. We need to avoid boilerplate like "US Benefits Overview" link? It's a link but we can mention "a summary of which can be viewed here: US Benefits Overview." That's substantive? It's a reference. We'll keep. Thus Benefits paragraph: "In addition, we're proud to offer a range of competitive benefits, a summary of which can be viewed here: US Benefits Overview. Enjoy Benefits That Take Care Of What Matters At AIG, our people are our greatest asset. We know how important it is to protect and invest in what's most important to you. That is why we created our Total Rewards Program, a comprehensive benefits package that extends beyond time spent at work to offer benefits focused on your health, wellbeing and financial security???as well as your professional development???to bring peace of mind to you and your family." Note there are "???" again; preserve. Now Pay paragraph: "The base salary range for this position in New York, NY is $163,000-204,000, in New Jersey and Boston MA is $160,000-$200,000, and $159,000-$199,000 in Chicago, the position is eligible for a bonus in accordance with the terms of the applicable incentive plan. Your actual compensation will be dependent on your skills, experience, and qualifications. If your compensation expectations are above the posted range, we still encourage you to apply???