Senior Compliance Officer, Investments Compliance
$163k - $204kAmerican International Group (AIG)
Position Summary: AIG’s Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s Investments group, along with assisting in the oversight of external managers. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review and capture investment restrictions from investment guidelines, state insurance investment regulations and reinsurance/trust agreements. Code, test and implement investment restrictions in BlackRock Aladdin and Bloomberg.Review exceptions out of the compliance module and perform manual controls testing.Perform ad-hoc/quarterly controls review specifically for the General Account and reinsurance mandates.Interact/partner with CIO, investment managers, and Legal to ensure compliance with investment restrictions, including coordinating on interpretive issues.Serve as a strategic partner with other control function teams throughout the firm (Legal, SOX/Audit, Investment Accounting, Technology, Operations, and Risk) to advance the control framework.Review and update compliance policies and procedures.Provide training on compliance policies and procedures.Collaborate within Legal on regulatory filings (13F, 13G/D, 13H, etc.).Perform compliance due diligence of external managers compliance programs.Implement solutions to challenges and issues that are raised by stakeholders.Scope and lead special projects and ad hoc assignments.Position Requirements:Minimum of 3 years of experience in guideline monitoring using BlackRock Aladdin, Charles River, Sentinel, Bloomberg AIM, or a similar system.Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing.Fixed income compliance experience is required, and exposure to private credit, mortgage loans, private equity, real estate and derivatives is a plus.Working knowledge of NY, DE and PA U.S. State insurance investment regulation, along with NAIC Model Laws – Investments of Insurers Model Act; background understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus.Familiarity with manager-of-manager structures.Strong work ethic with great attention to detail and ability to communicate effectively.Bachelor’s degree required.The base salary range for this position in New York, NY is $163,000-204,000, in New Jersey and Boston MA is $160,000-$200,000, and $159,000-$199,000 in Chicago, the position is eligible for a bonus in accordance with the terms of the applicable incentive plan. Your actual compensation will be dependent on your skills, experience, and qualifications. If your compensation expectations are above the posted range, we still encourage you to apply—your unique background matters to us. In addition, we’re proud to offer a range of competitive benefits, a summary of which can be viewed here: US Benefits Overview.At AIG, we value in-person collaboration as a vital part of our culture, which is why we ask our team members to be primarily in the office. This approach helps us work together effectively and create a supportive, connected environment for our team and clients alike.Enjoy benefits that take care of what mattersAt AIG, our people are our greatest asset. We know how important it is to protect and invest in what’s most important to you. That is why we created our Total Rewards Program, a comprehensive benefits package that extends beyond time spent at work to offer benefits focused on your health, wellbeing and financial security—as well as your professional development—to bring peace of mind to you and your family.Reimagining insurance to make a bigger difference to the worldAmerican International Group, Inc. (AIG) is a global leader in commercial and personal insurance solutions; we are one of the world’s most far-reaching property casualty networks. It is an exciting time to join us — across our operations, we are thinking in new and innovative ways to deliver ever-better solutions to our customers. At AIG, you can go further to support individuals, businesses, and communities, helping them to manage risk, respond to times of uncertainty and discover new potential. We invest in our largest asset, our people, through continuous learning and development, in a culture that celebrates everyone for who they are and what they want to become.Welcome to a culture of inclusionWe’re committed to creating a culture that truly respects and celebrates each other’s talents, backgrounds, cultures, opinions and goals. We foster a culture of inclusion and belonging through learning, cultural awareness activities and Employee Resource Groups (ERGs). With global chapters, ERGs are a cornerstone for our culture of inclusion. The talent of our people is one of AIG’s greatest assets, and we are honored that our drive for positive change has been recognized by numerous recent awards and accreditations.AIG provides equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability or any other legally protected categories.AIG is committed to working with and providing reasonable accommodations to job applicants and employees with disabilities. If you believe you need a reasonable accommodation, please send an email to View email address on click.appcast.io. Functional Area:CP - ComplianceAIG Employee Services, Inc.SummaryLocation: NJ-Parsippany; GA-Atlanta; MA-Boston; NY-New York; PA-Philadelphia; IL-ChicagoType: Full time
- Robinhood is seeking a Compliance Specialist to build and govern the regulatory framework for a new advisory business. You will coordinate with operations, customer service, and RAM teams, conducting tests, audits, and risk assessments to ensure robust supervision and...Senior
$119k - $218.3k
Position Summary Senior Consultant - Risk, Regulatory, & Licensing... ...up-to-date perspectives on compliance obligations and industry best... ...aptitude with Microsoft Office products, particularly... ..., as well as through our own investments, commitments, and actions across...SeniorWork at office- Broker dealer client is seeking a Senior Compliance Officer to provide real-time compliance advisory support to our Futures Commission Merchant (FCM) business, along with affiliated Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealers. Responsibilities...Senior
- A leading wealth management firm in Chicago seeks a Senior Compliance Officer to enhance compliance frameworks and governance. The role involves overseeing compliance documents, training staff on regulatory changes, and managing compliance programs. Ideal candidates will...Senior
- Golub Capital seeks a Compliance Officer to lead AML/KYC programs and manage regulatory filings within the Legal & Compliance Department in Chicago. The role requires deep knowledge of securities regulation and experience with risk mitigation and control design. Ideal...Senior
- Mesirow, a Chicago-based independent financial services firm, seeks a Compliance Officer to support all aspects of the Compliance Department. The role involves Code of Ethics oversight, AML/KYC reviews, and training, reporting to the Chief Compliance Officer. The position...SeniorWork at office3 days per week
- A financial services firm in Chicago is seeking an experienced Compliance Officer to oversee and manage compliance across its brokerage and fintech operations. Responsibilities include ensuring adherence to regulatory frameworks, developing compliance policies, and conducting...Senior
- Mesirow is seeking a Compliance Officer in Chicago to support all aspects of the Compliance Department, including ethics governance, AML/KYC, training, and policy development. This role partners with Legal, Risk, and Business units to ensure robust controls and regulatory...SeniorWork at office3 days per week
- ...is seeking a Credentialing Specialist to support primary verification, maintain NCQA-aligned credentialing processes, and ensure compliance with licensing and accrediting requirements. The role involves updating physician applications, coordinating with payors, and maintaining...Senior
- Senior Compliance Officer, Compliance Management At Corient, we help high‑ and ultra‑high‑net‑worth individuals and families to enjoy a full life... ...services industry, specifically with a Registered Investment Adviser. Deep understanding of federal and state securities...SeniorPermanent employmentTemporary workWork at officeFlexible hours
$81.4k - $151.8k
Application Deadline: Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Responsible for independently performing risk assessments, and developing, executing...SeniorPart timeLocal area- Mesirow Financial Holdings, Inc. is seeking a Compliance Officer to support all facets of the Compliance Department, including ethics, AML/KYC, and policy development. The role reports to the Chief Compliance Officer and operates in a hybrid model with in-office presence...SeniorWork at office3 days per week
- ...Credentialing team in primary source verifications, credentialing and recredentialing for FPP clients, and to ensure NCQA and regulatory compliance. The role requires 2 years of credentialing experience or a BA, CPCS eligibility, and strong data management skills with Excel/...Senior
$72k - $141k
...abilities of all employees are used to their fullest potential. The Compliance Senior Consultant is a strategic individual contributor role... ...and understands the insurance industryProficiency in Microsoft Office Suite, including Microsoft CoPilot, and compliance management...SeniorFull timeWork experience placementWork at office- ...bulletins, and regulatory frameworks impacting insurance and non-insurance products.· Conduct competitor filing analysis and assess compliance feasibility.· Monitor legislative and regulatory changes and translate into business guidance.Forms, Rates, and Product...SeniorFull timeFlexible hours
$84k - $118.11k
..., consider joining Baker Tilly (BT) as a Consumer Regulatory Compliance Senior Consultant! Our Risk Advisory practice provides a full spectrum... ...clients and contribute to practice development activities.Invest in your professional development individually and through participation...SeniorFull timeWork experience placementLocal areaWorldwide$89k - $105k
...Asset Management (“RAM”) is a digital-first investment advisor responsible for delivering... ...their fingertips, anytime and anywhere. The Compliance Specialist will help create and champion... ..., TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected at...SeniorWork at officeFlexible hoursShift work3 days per week- ...tms is seeking a Senior Trade Compliance Specialist (NA) to manage day-to-day import/export operations and ensure regulatory compliance across US/Canada. Responsibilities include HTS classification, valuation, origin verification, and audits, with ongoing SOP updates and...Senior
- ...Katalyst CRO in Chicago seeks a Regulatory Affairs Level III (Senior Specialist) to manage global product registrations and ensure compliance in the medical device sector. The role involves developing regulatory strategies, leading 510(k) submissions, and supporting quality...Senior
- ...AbbVie is seeking a Senior Analyst in the Office of Ethics and Compliance (OEC) to lead strategic execution and initiatives, coordinating across functions and guiding risk-driven projects. You will manage project plans, dashboards, and communications to sustain momentum...SeniorWork at office
$85k - $110k
...Senior Analyst – SOX, Audit & Internal Controls Great Quality of Life + Strong Career Opportunity We are partnering with a large, growing and highly respected financial services organization that has experienced significant growth and strong financial performance. This...Senior$83.1k - $141.3k
...clients using leading technology and exceptional service. The HR Compliance team within Employee Relations is responsible for ensuring compliance with applicable employment laws and regulations. The Senior Consultant is responsible for independently leading and...SeniorFull timeWork experience placementH1bLocal areaWorldwideFlexible hours$88k - $110k
...Senior Compliance Analyst PEAK6 Capital Management is a proprietary options trading firm that has been defining the industry for more than... .... Strong project management, leadership, and general MS Office software application skills. Very strong analytical skills...SeniorRemote work2 days per week- ...Description Position at First Business Bank Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn morehere. At the heart of First Business Bank, we believe success comes down to putting people...SeniorWork experience placementRemote work
- Ferrero SpA seeks a Senior Regulatory Specialist in Chicago to impact product innovation and compliance significantly. The role requires providing expert regulatory guidance across a diverse portfolio of confectionery products, ensuring compliance with U.S. FDA labeling...Senior
- Rush University Medical Center in Chicago, IL, is seeking a Health Information Management coding auditor to monitor coding quality and educate staff. The role involves preparing reports for administration and representing the HIM department at internal and external forums...Senior
- CNA is seeking a Compliance Senior Consultant to lead and strengthen the company’s second-line oversight, regulatory responsiveness, and remediation efforts. This strategic role supports compliance across the organization and advances core programs. The position requires...Senior
- Jobtailor in Chicago is seeking a detail‑oriented Compliance Analyst to support AML programs for client files. You will review files for conformance with AML policies, assist with CIP, KYC, and EDD requirements, and escalate regulatory risks to Global AML management. The...Senior
- Greenberg Traurig LLP seeks a senior Associate in its Financial Regulatory & Compliance Practice. The role can be based in our Miami, DC, New York, Chicago, Atlanta, Phoenix or Dallas office, with clients across industries nationwide. Candidates should have at least 6...SeniorWork at office
- Baker Tilly, a leading advisory, tax and assurance firm, seeks a Consumer Regulatory Compliance Senior Consultant in its Risk Advisory practice. You will assess consumer regulatory risks, help clients implement compliance programs, and support internal audits and regulatory...Senior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Officer, Investments Compliance. Be the first to apply!
- regulatory reporting analyst Chicago, IL
- regulatory affairs specialist Chicago, IL
- financial compliance analyst Chicago, IL
- medicare compliance specialist Chicago, IL
- senior compliance analyst Chicago, IL
- risk compliance officer Chicago, IL
- bsa aml compliance officer Chicago, IL
- regulatory compliance analyst Chicago, IL
- compliance specialist Chicago, IL
- aml compliance analyst Chicago, IL

