Senior Compliance Analyst - Mutual Funds/Investment Adviser

Jersey City NJ
December 13 2018
Insurance, Securities
Functional Area:

CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company

The Senior Compliance Analyst - Mutual Funds will have the following responsibilities:

  • Oversee the following aspects of the Compliance programs for AIG's retail and annuity mutual funds and investment advisers, SAAMCo and VALIC, including:
    • Monitor Funds on the Bloomberg AIM platform to ensure compliance with Prospectus, SAI and regulatory guidelines on a daily basis.
    • Help maintain the current compliance rules and lists on the Bloomberg AIM platform as well as create, code and test new rules when necessary.
    • Interface with the Fund Sub-Advisers during both on-site and off-site due diligence meetings.
    • Assist the Chief Compliance Officer with the maintenance of policies and procedures that are adequately designed to prevent, detect, and correct any federal violations from occurring.
    • Assist the Chief Compliance Officer with the preparation of Board Reporting materials
    • Serve as a representative of compliance in discussions with our various business partners
    • Assist the Chief Compliance Officer with 38a-1/206(4)-7 testing.
    • Assist the Chief Compliance Officer with employee E-mail reviews and surveillance.
    • Assist the Chief Compliance Officer with general AML matters (i.e. 314(a), OFAC, SAR filings).
    • Assist the Chief Compliance Officer with the preparation of the Form ADV.

Candidate Qualifications

The ideal person for this role should have experience and knowledge with a Registered Investment Adviser, experience in monitoring and testing of compliance programs and knowledge of applicable laws and regulations impacting the Mutual Fund business background.

Candidates will be expected to possess the following professional and personal attributes:

  • Experience with the Bloomberg AIM platform is a must. (At least 1-2 years of monitoring funds, coding, etc., is ideal.)

  • A strong educational background with an undergraduate degree preferred, and a minimum of 2 - 5years of relevant experience.
  • FINRA series 7 and 24 licenses preferred.
  • Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrix organization with employees at all levels.
  • Ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
  • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
  • Excellent organizational, written, verbal skills.
  • Knowledge of the mutual fund business including products, compliance and administration.
  • Knowledge of Federal Securities regulations, e.g., the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1934
  • Ability to evaluate federal laws and regulations.
  • Ability to collect and evaluate financial, transactional or other data to determine trends.

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.