Compliance Manager - Guidelines / Monitoring with Blackrock Aladdin experience
: Job Details :

Leading writer of Property & Casualty Reinsurance seeking an AVP, Compliance Monitoring Manager supporting their Investments Operations team. I have been supporting this client for 20+ years and I can sincerely say they have the best, most employee centric, corporate culture of any client I've worked with. Their global team shares a passion for solving their customers' problems through a collaborative and entrepreneurial culture that empowers employees and rewards creative thinking.

This is a 4 day per week in office position located in midtown Manhattan very close to all major transportation hubs.

About Investments Operations

The Investments Operations team is responsible for supporting all Investments middle office activities, including trade support and settlement, counterparty maintenance, compliance, bank account management, data reconciliations and reporting, and performance and attribution. The team supports and works closely with Investments, Treasury, Finance, among other departments to ensure complete and accurate representation of our investment portfolio.

Investment Operations is expanding to support the growing business demands. We are focused on increasing scalability through digitalization, automation, and streamlining processes to enable continued excellence in delivering to our clients, partners, stakeholders, and employees. This is an exciting opportunity to join the transformation journey, work directly with the core Investments team, external managers, and on the BlackRock Aladdin platform.

About the Position

Reporting directly to the VP, Head of Investments Operations, the AVP, Compliance Monitoring Manager, will play a critical role ensuring the Investments function adheres to internal compliance policies and entity level regulations. They will oversee compliance management and reporting, ensuring transparency and accountability across stakeholders. Successful candidates will demonstrate an ability to thrive in fast paced, growing environments and collaborate with Investments, Risk, and Legal to scale, implement, monitor, and maintain a fit-for-purpose compliance program. The work includes reviewing existing rules, redefining guidelines, and ensuring appropriate documentation.

The AVP, Compliance Manager, is based in our midtown New York office and will join a global team with stakeholders and partners in Dublin, Bermuda, London, and Switzerland.

Key Responsibilities

• Develop and maintain a robust compliance governance framework and supporting documentation for scalability, stakeholder training and ongoing usage, and monitoring
• Collaborate actively across multiple stakeholder teams and legal entities, including Investments, Legal, Underwriting, Treasury, et al, to manage guideline process
• Leverage appropriate tools and software, i.e. Aladdin BQL, to ensure effective implementation of compliance rules
• Conduct pre- and post-trade compliance checks for the internal and external portfolios, as required
• Perform regular reviews to ensure portfolio guidelines reflect multi-jurisdictional legal, regulatory, and trust guidelines, working with Legal and Risk teams as needed
• Maintain library of all guidelines, IMAs, and trust agreements, ensuring fully executed and final documents are retained
• Identify and report on compliance breaches and waivers to portfolio managers and other stakeholders on a real time basis to support remediation; capture trends and insights through quarterly reporting
• Prepare regular reports on compliance activities, trends and risks
• Contribute to scalability through clear documentation of processes and procedures
• Serve as a training resource on investments compliance management; the role may also manage a Compliance Analyst

Candidate Qualifications:

• 5+ years of relevant experience in a compliance role in asset management
• Agility with relevant tools, e.g. BQL and Aladdin Compliance workbench
• Knowledge of investment markets and financial products; experience in public fixed income markets strongly preferred
• Experience with managing robust processes related to monitoring and reporting on investments compliance guidelines, breaches, and remedies
• Adaptability; experience in a high growth environment or with change management ideal
• Strong analytical skills with attention to detail
• Excellent verbal and written communication skills; ability to build credibility with diverse stakeholders
• Excellent relationship building and management; collaborates well across multiple functions and geographies
• Proficient in MS office with strong Excel skills
• Bachelor's degree expected; focus on investments, finance, or similar preferred

Leadership Competencies & Values:

Impact: Sets objectives, delivers results, and implements policies/operational targets with direct impact on the department or individual work outcomes

Execution: Proactively identifies resources, actions and timelines needed to achieve objectives, effectively balancing tactical pressures with broader implications and downstream impact

Communication: Shares relevant information in a timely manner with stakeholders and conveys points of view in a way that influences opinions and demonstrates flexibility

Client and solutions focus: Identifies process and service opportunities that enhance the external and internal client experience and outcomes.

Innovation: Stretches self and others to think differently and innovatively, drawing upon multiple sources for ideas and inspiration

Learning mindset: Seeks out and explores new assignments, exposure, or challenges in order to enhance technical skills.

Values: Exemplifies and champions the firm's core values of Focus, Respect, Integrity, Precision, Passion