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Manager
Aflac
New York, NY, United States
Job Details - this job has expired, please see similar jobs below
Description
Aflac Global Investments
We are the Duck. We inspire and are inspired, listen and respond, empower our people, give back to our community and, most importantly, celebrate every success along the way. We do it all – The Aflac Way.
Aflac, a Fortune 200 company, is an industry leader in voluntary insurance products that pay cash directly to policyholders and one of America's best-known brands. Aflac has been recognized by Fortune magazine as one of the 100 Best Companies to Work For in America for 18 consecutive years, one of the Best Workplaces for Millennials in 2015 (the inaugural year of the award) and one of America's Most Admired Companies for 15 years.
Our business is about being there for people in need. So, ask yourself: Are you the Duck? If so, there’s a home — and a flourishing career — for you at Aflac.
The Company
Aflac Global Investments
The Location
New York, NY
The Division
Legal & Regulatory - Investment Compliance
The Opportunity
Assistant Vice President, Investment Compliance Manager
Job Summary
Within Aflac’s Global Investment Division, the Investment Compliance Manager is a member of the New York Compliance team. The position require expertise in the business and compliance concepts, along with the ability to reason, recommend, and gain compromises that enhance the value of Global Investments Compliance function. Oversight of the daily monitoring of automated dash board, surveillance, regulations, and data management responsibilities while ensuring adherence to the Investment Compliance guidelines, policies, and procedures. In addition to the daily responsibilities described below; the Investments Compliance Manager will also work on Compliance related projects and help to support communications with colleagues in Columbus, GA (Corporate) and Japan Compliance teams.
Key Relationships
Reports to: Director, Investment Compliance Officer
Primary Support: Multiple functions in support of Compliance functions
Other Relationships: Columbus and Japan Compliance, Trader Operations, Risk, Trading, Portfolio/Investment, IT, Investment Accounting, Human Resources, and other key stakeholders
Principal Duties & Responsibilities
• Ensure mandated guidelines are translated into formats that can be coded into monitoring systems and accurately reflect trading restrictions for the particular client account
• Monitor and recommend appropriate controls to cover non-programmable guideline restrictions on a timely basis
• Coordinate the breach investigation process and management reporting
• Responsible for the override process and management reporting of overrides
• Contribute to the analysis of client Investment Management Agreements (IMAs) and seeking clarification of guidelines from the business where necessary
• Perform analysis of the data requirements on appropriate systems
• Maintain the system(s) from the account on-boarding process forward
• Investigate all breaches that occur and report on each.
• Contribute to the construction of procedures and controls in relation to trade guideline monitoring
• Lead and/or assist with projects for the implementation of version enhancements
• Monitor developments with the NAIC, SEC, Japan FSA, State DOI’s and CFTC as they relate to the Investment function.
• Provide research on investment compliance related issues.
• Assist in the development and implementation of all relevant Investment Compliance policies and procedures.
• Provide guidance on permissible investment and transaction-related activities.
• Work closely with Aflac Global Investments Operations and Risk teams
• Work to limit regulatory and reputation risk of Aflac and help to reinforce Aflac Global Investment’s culture within Compliance.
• Manager and Conduct transactional and forensic Compliance testing
• Assist in the preparation of management and committee reports
• Conduct compliance training sessions
Education & Experience
• Bachelor’s degree, MBA, CFA, JD, Compliance Certification Preferred
• Minimum of 10 years of experience in Insurance Industry Compliance, particularly with SEC, State DOI’s, NAIC, or FSA matters
Qualifications
Job Knowledge & Skills
Technical Skills:
• 8+ years of Investment Experience (Fixed Income a plus)
• Minimum of 10 years of experience in Insurance Industry Compliance, particularly with SEC, State DOI’s, NAIC, or FSA matters
• Experience with any pre-trade compliance or portfolio management system (such as Bloomberg, Charles River, Blackrock Aladdin, etc.)
• Good working knowledge/understanding of Investment Operations workflows and process
• Good working knowledge/understanding of Insurance Industry Regulations as they pertain to Investments
• Understanding of US and/or Japan Insurance Regulations
• Understanding of US and Japan Securities and Derivatives Regulations as they pertain to Insurance Industry Investment activity
Non-Technical Skills:
• Fixed Income or financial knowledge is required
• Strong client facing skills. Candidate will work closely with the Aflac investment team.
• Project planning skills including MS Project
• Strong verbal and written communication skills. Strong analytical and problem solving skills
• Ability to work independently. A team player with a strong work ethic
• Strong leadership skills to lead projects; interns and junior staff
• Tasks and date driven with regards to deliverables
• Excellent analytical and research skills
• Strong attention to detail
• Ability to interface with all levels of management
• Ability to self-manage workloads and work to deadlines
• Proactive approach to issue resolution
• Able to take initiative and multi-task
• Ability to work effectively with other individuals and departments
• Ability to work under pressure.
• Ability to facilitate compromise between conflicting requirements or points of view