Advance your career at Liberty Mutual Insurance- A Fortune 100 Company!
When you join Liberty Mutual Investments as a Senior Investment Compliance Analyst, you'll find the same dynamic environment and challenges as within other organizations. Yet you'll find something more: an opportunity to apply your subject matter expertise and analytic skills to a company renowned for its integrity and focus on developing its employees' careers. The Sr. Investment Compliance Analyst role provides a unique opportunity for a highly motivated candidate to join the Investment Compliance team that is responsible for creating, implementing, and monitoring the compliance policies and procedures of Libertysset manager, responsible for managing an $85b portfolio consisting of a broad range of both public and private assets.
In this role the Sr. Investment Compliance Analyst reports to the Sr. Manager of Investment Compliance and will work with internal users/stakeholders across the front, middle, and back office to create, enact, enforce, and test the effectiveness of LMIompliance policies and procedures. This individual must have knowledge and understanding of SEC Investment Adviser rules and regulations. Additional experience delivering training, assessing material non-public information, providing guidance for private capital compliance issues, and ensuring compliance with ERISA regulations is a plus.
Design and perform monthly/quarterly testing of all of LMIompliance policies. Ensure policies are being applied properly across all clients and that ERISA laws are being followed as applicable. Present results to management with recommendations for improvements to processes and changes to the policies.
Draft changes to the LMI policy manual consistent with the results of testing and industry best practices. Work with legal counsel to ensure changes are consistent with business needs and regulatory expectations.
Assist in identifying, evaluating, and documenting LMIeceipt of potential material non-public information. Ensure records of information received and evaluation of the impact are clear, up to date, and ready for potential regulatory review.
Assist in the design and implementation of a firm wide compliance training program. Present new hire in-person training.
Perform adviser policy effectiveness testing and ongoing monitoring, including, trade activities, conflicts of interest, communications etc.
Assist in pre and post trade compliance monitoring. Review existing trade compliance rules for accuracy and completeness.
Prepare listings of Adviser investments, vendors, and partners for Corporate OFAC review. Follow up on any questions from Corporate. Ensure any restrictions are properly communicated to portfolio managers.
Assist in ensuring that all GC&E compliance requirements including the Code of Conduct are adhered to by LMI employees.
Perform daily email monitoring to ensure compliance with the Code of Conduct and Compliance Policy Manual.
The actual internal level/grade for this role will depend on the candidateverall experience and skill level.
Qualifications Qualifications: Bacheloregree in Business is required with a major in Accounting or Finance is preferred.
A minimum of 3-5 years prior experience in the securities industry working with investment regulations.
Experience with private capital preferred.
Excellent interpersonal and communications skills are required. Demonstrated analytical, computer and organizational skills.
Benefits: We value your hard work, integrity and commitment to positive change. In return for your service, itur privilege to offer you benefits and rewards that support your life and well-being. To learn more about our benefit offerings please visit:
Overview: At Liberty Mutual, we give motivated, accomplished professionals the opportunity to help us redefine what insurance means; to work for a global leader with a deep sense of humanity and a focus on improving and protecting everyday lives. We create an inspired, collaborative environment, where people can take ownership of their work; push breakthrough ideas; and feel confident that their contributions will be valued and their growth championed.
Wededicated to doing the right thing for our employees, because we know that their fulfillment and success leads us to great places. Life. Happiness. Innovation. Impact. Advancement. Whatever their pursuit, talented people find their path at Liberty Mutual.
