Chief Compliance Officer, Capital Markets

Wilton CT
July 17 2018
Insurance, Securities
Functional Area:

CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No


Our AIG Investments Compliance team partners with the business to implement and develop strategic compliance solutions in accordance with applicable laws and regulations. We have an exciting opportunity for a Chief Compliance Officer, Capital Markets to join our team! You will lead the compliance objectives for the Capital Markets platform and will provide strategic regulatory support to business and legal partners, particularly with derivatives products, foreign exchange and short term investments. You will also be designated the Investments Compliance Anti-Money Laundering Officer and will support the risk-based AML policies across investment platforms.

This role is a position of high influence and requires demonstrated leadership, managerial and technical skills. You will report directly to AIG Investments Chief Compliance Officer, Global Investments.

Specific responsibilities will include:

  • Cultivate and promote relationships with key business partners and foster and promote a culture of compliance - the provision of outstanding service to business partners is paramount to be successful in this role
  • Plan, facilitate and execute all necessary policies and procedures, testing and certification, including training, monitoring and testing and any associated remediation to maintain compliance with applicable securities laws and regulations
  • Ensure compliance with SEC and FINRA regulations, identifying and documenting regulatory risks and assisting the businesses in developing controls
  • Serve as a subject matter expert a resource providing interpretive advice as to the application of complex regulations - such as Title VII of the Dodd-Frank Act, the Commodity Exchange Act, and Securities Exchange Act of 1934
  • Assume the role of Anti-Money Laundering Officer for the Investments platform, fulfilling all AML and OFAC regulations and internal corporate policies
  • Serve as the Compliance representative on the New Products Committee and review new and revised business proposals relating to all AIG Investments related proposals
  • Develop an understanding of the business and have the capacity to grow with the organization, ensuring continued compliance excellence while facilitating an adapting business and entrance into expanded business lines

Job Requirements:

  • 10+ years compliance experience within the capital markets and investment space
  • Series 7 and Series 24 registrations (preferred, but not required)
  • Working knowledge of Title VII of the Dodd-Frank Act, EMIR, the Commodity Exchange Act, the Securities Exchange Act of 1934, Investment Adviser's Act of 1940, and OFAC/AML regulations
  • Adept understanding of swaps, fixed income securities, mortgage loans, real estate, private placement, hedge fund, and private equity (preferred)
  • Excellent verbal and written communication skills and executive presence
  • Strong project management skills, work ethic with great attention to detail
  • Demonstrable ability to work independently as well as part of a global team
  • Bachelor's degree in business or related field, or equivalent experience, (JD preferred)

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.

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