Senior Compliance Manager, Portfolio Management & Trade Compliance

New York NY
March 05 2018
Insurance, Securities

Functional Area:

CP - Compliance

Estimated Travel Percentage (%): No Travel

Relocation Provided: No


We have an exciting opportunity for a Sr. Compliance Manager to join our Global Portfolio Management & Trade Compliance team. The team's focus is to safeguard the management of client assets by controlling and effectively mitigating portfolio risk by coding and monitoring investment restrictions. You will work with the CIO and Portfolio Management teams across multiple asset classes ensuring the oversight of our clients' investment assets. A focus will be experience within the regulatory asset management arena.

Specific responsibilities will include:

  • Review of Investment Management Agreements (IMA) investment guidelines and state insurance investment regulatory requirements
  • Code, test and implement investment restrictions in Bloomberg AIM
  • Perform ad-hoc/quarterly controls review specifically for the General Account mandates
  • Interact/partner with CIO, Portfolio Management teams, and Legal in managing client assets in compliance with investment restrictions, including coordinating on interpretive issues
  • Implement solutions to challenges and issues that are raised by stakeholders across the business
  • Review and update policies and procedures governing the investment restrictions/ guidelines process
  • 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
  • Scoping and leading on special projects and ad hoc assignments

Job Requirements::

  • Minimum of 4+ years experience in guideline monitoring using Bloomberg AIM, Charles River, Sentinel or a similar order management and compliance monitoring system
  • Bloomberg CMGR, VMGR, TSCF, MAV experience is a plus
  • Fixed income compliance experience is required, and exposure to derivatives, mortgage loans, real estate, private placement, hedge fund, private equity is a plus
  • Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 and federal regulations.State insurance investment regulation is a plus
  • Exposure to MicroStrategy, SharePoint, Appian, Clearwater, and PAM a plus
  • Ability to communicate effectively
  • Strong work ethic with great attention to detail
  • Must demonstrate ability to work independently as well as part of team
  • Bachelor's degree required

It has been and will continue to be the policy of American International Group, Inc., its subsidiaries and affiliates to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability or any other legally protected categories.

At AIG, we believe that diversity and inclusion are critical to our future and our mission - creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives