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Compliance Manager - Chicago
Aviva
Chicago, IL, United States
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Compliance Manager – Chicago
The Role
The Compliance Manager is a member of the Aviva Investors Americas (AIA) Compliance team and is primarily responsible for ensuring that the firm and its employees adhere to the laws, regulations and ethical standards of the securities industry by supporting the Chief Compliance Officer (CCO) in the management and execution of the compliance program for AIA. The position will report directly to AIA’s CCO and have direct oversight of two Sr. Compliance Analysts.
The Team
The Compliance team is responsible for managing compliance risk management programs, reporting to relevant governance committees and/or senior management, designing and executing risk mitigation strategies, developing and conducting training, and managing relevant regulatory exams and interaction.
Responsibilities
• Assist in the development of compliance surveillance and testing and due diligence programs.
• Prepare and manage all SEC, FINRA, state, regulatory fillings including Form ADV, Form PF and CTA/CPO.
• Manage the advertising/marketing approvals process.
• Identify and interpret SEC, CFTC, NFA, state, federal, foreign jurisdiction and self-regulatory organization rule and regulations to ensure firm policies and procedures comply with applicable laws, regulations and industry guidance
• Support the development and update of policies, guidelines, standards and procedures with SEC and CFTC regulatory compliance, including the Compliance Manual and Code of Ethics.
• Coordinate with various regional and global business units to determine the impact of compliance regulation on current processes and internal controls. Must function as a true business partner to the various departments of the firm.
• Advise CCO regarding risk management and regulatory changes. Manage relationships with affiliated managers on compliance and reporting obligations.
• Assist in the management and mentoring of existing compliance team.
• Develops, organizes and delivers consistent compliance training, and reinforces all compliance related communications.
• Distributes and reviews compliance related data with CCO on a regular basis and ensures appropriate corrective action has been taken.
• Reviews, analyses and follows-up on relevant compliance inspection and audit issues as well as compliance metric reports.
Requirements
Essential
• Bachelor’s degree required
• Strong knowledge of the Investment Advisers Act, Investment Company Act and CFTC/NFA regulation and rules
• Several years of prior experience in a related compliance capacity
• Able to demonstrate a good understanding of financial instruments, particularly fixed income products and derivatives for an investment advisor
• Must be self-starter, able to work independently and as part of a team
• Excellent verbal and written communication skills
• Ability to maintain confidential information
• Understand and interpret complex information and situations
• Ability to prioritize multiple responsibilities and handle multiple tasks simultaneously
• Excellent project management and process improvement skills
• Experience negotiating problem resolutions
• Sound professional judgment and strong regulatory experience
Highly Desirable
• Series 7,24,63 registration (preferred)
• Exposure to working in global organization (preferred)
About us
We are proud to be a different kind of asset manager; our intelligent and innovative solutions are based entirely around our clients’ needs, not ours.
Aviva Investors is a global asset manager with expertise in real estate, fixed income, equity, multi-asset and alternative investments. We are proud to stand out in our field as our intelligent solutions are based around our clients’ objectives, not ours. About us
Inclusion and diversity
We are a global organisation with thousands of employees and customers from different cultures. We’ve built our approach to inclusion and diversity on the principles of respect, valuing differences and inclusion.
One of Aviva’s core values is Care More, and this is bought to life through the flexible ways we like to work. This may include working from home some of the time, or flexible work schedules to accommodate parent and carer responsibilities, further studies and hobbies. What’s important to us is that you are supported to do the best work of your life. Our culture and values
You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy