Sr Director, Investment Compliance

Responsibilities

• Design, implement, and maintain a comprehensive compliance program for investment advisory activities over the general account in alignment with the National Association of Insurance Commissioners (NAIC) Investments of Insurers Model Act, Iowa Code Chapters 508/511, and New York Insurance Law.
• Establish and maintain written policies and procedures covering investment advisory, portfolio management, trading, conflicts of interest, personal trading, material nonpublic information (MNPI), information barriers, and post-trade compliance.
• Provide independent compliance oversight to ensure adherence to applicable laws, regulations, and internal policies.
• Oversee and evaluate compliance monitoring and testing activities across investment functions, including the annual review of the derivatives use plan.
• Identify, escalate, and track remediation of compliance issues, regulatory findings, and control gaps.
• Partner with Legal, Risk Management, Internal Audit, and Enterprise Compliance to ensure alignment across the three lines of defense.
• Serve as a strategic compliance partner to senior investment leadership, fostering a culture of compliance, risk awareness, and ethical conduct.
• Lead, develop, and mentor compliance professionals, promoting accountability, performance, and continuous improvement.
• Drive efficiency and effectiveness through process improvements, data analytics, and technology-enabled compliance solutions.

Qualifications

• Bachelor’s degree or equivalent experience
• 12 years of asset management compliance experience
• Expertise in investment compliance, including innovative investment strategies such as private equity, real estate, infrastructure, and alternative credit
• Strong analytical and problem-solving skills
• Strong leadership and management skills
• Excellent interpersonal and written and verbal communication skills
• Aptitude with technology and compliance operations

Preferred Qualifications

• Juris Doctor
• MBA

Compensation

The Salary for this position generally ranges between $212,000 - $225,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Working Conditions

Hybrid office environment: Baltimore/Cedar Rapids/Denver/Philadelphia
Moderate travel for business meetings, conferences, and related activities