Investment Compliance Manager - Chicago, IL (Hybrid)

Compliance Manager The Compliance Manager supports and strengthens our Registered Investment Adviser (RIA) compliance program. The incumbent designs, implements, and operates a compliance framework aligned with the Investment Advisers Act of 1940, with a strong emphasis on exam readiness, risk identification, and practical supervision. This role partners closely with the Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit to ensure the firm meets SEC rules, firm policies, and regulatory expectations. Key Responsibilities Supervise, develop, maintain, and measure investment compliance policies, procedures, and controls. Administer annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting, and employee attestations. Manage critical compliance-related ad‑hoc and special projects from inception to implementation. Monitor regulatory developments and research industry changes, trends, and best practices to recommend new or revised procedures as necessary. Monitor client portfolios for compliance with investment policy and statutory limits; resolve potential exceptions and administer compliance rules in the monitoring system. Report routine and complex compliance exceptions and materials to senior leadership and respond to in‑depth questions. Prepare management and governance reports for senior Investment leaders and the Adviser's Board of Directors regarding compliance program results and potential issues. Perform periodic risk assessments, reviews, and tests to ensure successful implementation of policies and procedures through surveillance, monitoring, and examinations. Guide junior compliance staff in day‑to‑day and project‑related activities. Potential supervisory duties may be required. Qualifications 7+ years of experience in investment compliance, including policy development, monitoring, regulatory reporting, and risk assessment. Skills Compliance Compliance Frameworks Compliance Policies Compliance Programs Compensation Compensation for this role is $110,000.00 to $181,025.00 annually, based on experience and qualifications. Additional Requirements The candidate offered this position will be required to submit to a background investigation. EEO Statement It is the Company's policy to employ the best qualified individuals available for all jobs. Therefore, any discriminatory action taken on account of an employee's ancestry, age, color, disability, genetic information, gender, gender identity, gender expression, sexual and reproductive health decision, marital status, medical condition, military or veteran status, national origin, race (including traits historically associated with race, such as hair texture and protective hairstyles), religion (including religious dress), sex, or sexual orientation that adversely affects an employee’s terms or conditions of employment is prohibited. This policy applies to all aspects of the employment relationship, including hiring, training, salary administration, promotion, job assignment, benefits, discipline, and separation of employment. #J-18808-Ljbffr Allstate Insurance