Vice President, Investment Compliance - Liberty Mutual Investments

Compliance Attorney/Professional

The LMI Compliance team is looking for a compliance attorney/professional to assist with our control room function to support LMI's scaling private investment activity. This role requires frequent interactions with our investment teams and partners and general understanding of this process - wall-crossing, conflicts checks, company research, non-disclosure agreements, and documentation/monitoring in our systems.

Responsibilities:

• Support LMI's policies and processes to mitigate and manage potential conflicts arising from LMI's public and private investment activity.
• Monitor LMI deal pipeline, confer with deal teams as appropriate, and ensure appropriate tracking of potential transactions within LMI systems
• Research potentially impacted public securities and issuers, as well as deal/company facts to support materiality determinations; validate ongoing review of developments and status
• Support review, negotiation and execution of deal-related non-disclosure agreements
• Help drive transition to new compliance control room platform; work with colleagues to ensure successful integration with LMI pipeline platform and migration of legacy data
• Experience with control room / trading systems and related technology/data a plus (e.g., Aladdin, Dealcloud, MCO, Bloomberg, Pitchbook, CapIQ)

Support regulatory analysis on issues affecting LMI, including securities and insurance regulation matters.

• Assist with LMI's monitoring/tracking of applicable regulatory and industry developments; draft related summaries, guidance and proposed policy language as needed
• Participate as needed in range of ad hoc and special projects with Compliance team and other LMI colleagues e.g., risk assessments, regulatory reporting, firm and corporate governance, etc.

Broad understanding of investment compliance programs (code of ethics, policies, testing, controls, etc.) in order to offer on-site compliance support.

Qualifications:

• Competencies typically acquired through at least a bachelor's degree and 5 or more years of relevant investment, compliance or legal experience; JD, control room experience, and experience with deal-related non-disclosure agreements a plus
• Experience with and solid understanding of various asset classes and investment products; experience with private credit a plus
• Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors
• Desire to expand knowledge of regulatory/legal/compliance topics applicable to the asset management and insurance industries
• Strong verbal and written communication skills
• Strong ethical character; poise and confidence to interact with wide range of colleagues; collegial team player