Senior Compliance Officer (Investment Compliance Specialist) (Primarily Home)

This position will work closely with the American Family Investments’ Management, Portfolio Managers, Operations, Risk, Technology, and various departments at AMFAM Group, such as, Corporate Legal, Corporate Compliance, Internal Control, and Internal Audit, to assess and monitor the compliance program for the firm. Participates in supporting all compliance efforts, including but not limited to, daily compliance monitoring, audits, examinations, inquiries, reporting, certifications, due diligence meetings, and the development and maintenance of policies & procedures. Position can be fully remote (in the United States).

Compensation may vary based on the job level and your geographic work location. Relocation support is offered for eligible candidates. Primary Accountabilities Oversee monitoring and enforcement activities including but not limited to: conduct daily overnight exception alerts on internally and externally managed separate accounts and addressing any violations in a timely manner. Conduct unauthorized rule coding reconciliations and monitoring manual rules on a periodic basis. Conduct pre-trade and intra-day monitoring on internally managed separate accounts and address violations as they occur real-time throughout the trading day. Monitor and report to Compliance Manager any potential investment policy potential breaches and any other conflicts of interest that would result in unfair or illegal trading practices. Responsible for ensuring compliance with all applicable federal (SEC, FINRA, ERISA, OFAC, etc.) and state insurance regulations. Oversee and collaborate with unaffiliated investment advisers to ensure compliance with IMA and investment guideline limits and restrictions. Reviews unaffiliated investment advisers’ quarterly/annual certification questionnaires and communicating notable findings to management. Ensure annual regulatory compliance certifications for insurance companies are completed and delivered to relevant stakeholders in advance of regulatory filing deadlines. Assist in reviewing and maintaining firm-wide policies and procedures including trading strategies, technology, investment guidelines, regulations, and/or daily workflows. Conduct annual testing of compliance procedures and documenting findings. Partner with AMFAM Corporate Legal and Compliance, Internal Controls/Audit, external investment managers, and other departments to develop, implement, and enforce policies and procedures for American Family Investments. Code tests in Blackrock Aladdin to monitor investment guideline limits and restrictions and operational data validation checks. Maintain the Aladdin tests rule library to make sure it remains consistent with the most current guidelines, policies, and applicable securities laws. Manage the compliance relationship with Blackrock to ensure timely responses to the firm’s compliance-related inquires and ensure that the latest compliance functionality is being utilized by  American Family Investments. Oversee the full development lifecycle for all tokens and macros that are introduced and/or modified within Aladdin. Support the compliance daily workflow by troubleshooting and/or escalating any systems-related issues in a timely manner. Assist in the administration of the compliance program, including oversight of the Code of Ethics and related compliance systems and processes. Responsibilities include maintaining and administering compliance software, onboarding and training new employees on the Code of Ethics, maintaining compliance records and systems, and reviewing and approving personal securities transactions, outside business activities, etc., in accordance with firm policies and applicable regulatory requirements. Facilitate audits and examinations and prepare attestations for internal/external auditors, regulatory bodies, and third parties/vendors, such as, SWIFT, state insurance regulators,