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VP CCO - Investments

  • Location: Newark, NJ
  • Job Type: Direct Placement
  • Ref No: 19-06227
  • Date: October 18, 2019
  • Job title:
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Job Description - VP CCO - Investments

This position will be responsible for the design and implementation of a highly effective, risk-based compliance program.   

The position is part of the Compliance Organization and will manage a small team.   

Responsibilities include:

·         Building and implement a proactive, strategic compliance program that is risk-based, and data driven.

·         Developing a strategic approach to compliance which is proactive and preventative.

·         Driving enhancements to existing compliance program including governance and reporting.

·         Develop change management and communication strategies to ensure a culture of continuous improvement, teamwork, and the sharing of best practices.

·         Monitoring regulatory developments for alternative fund investing in the United States and Europe and providing real-time assessments of our portfolio.

·         Developing and implementing compliance due diligence program to evaluate private fund trading, allocation, and fee and expense practices.

·         Advising on the regulatory requirements of financial services firms in which we invest.

·         Performing due diligence review of the compliance programs of asset managers on the CIO platform, including reviewing compliance manuals and testing programs.

·         Monitoring and testing the trading activities of centralized derivatives trading unit and cash management unit.

·         Developing integrated monitoring tools for portfolio compliance monitoring for the proprietary assets supporting insurance liabilities in general account and Guaranteed Separate Accounts.

·         Assessing compliance risk and operating a compliance monitoring and testing program appropriately tailored to the risk of the business activities.

·         Providing training to CIO staff.

·         Monitoring actual and potential conflicts of interest.

·         Drafting policies and procedures.

·         Developing talent and maximizing team effectiveness.

·         Driving alignment and consistencies across compliance programs and initiatives.

·         Establishing and maintaining strong relationships with business and other Compliance partners as well as Legal, Risk, and Audit.


·         12+ years of relevant financial service compliance or regulatory enforcement experience.

·         Technical compliance expertise with superior knowledge, skills and experience in compliance risk management

·         Significant experience conducting compliance due diligence on and monitoring compliance programs of investment managers.

·         Knowledge of cash market securities and alternative assets including hedge funds, private equity and real estate.

·         Knowledge of derivatives regulation, including Dodd Frank Title VII and state insurance regulatory related compliance matters.

·         Experience working in an asset management firm or insurance company. Knowledge of insurance general account portfolio management a plus.

·         Strong knowledge of investment management and related regulations, including ability to identify requirements related to regulatory changes.

·         Proficient in MS Office (Outlook/Word/Excel/Access/PowerPoint)

·         Bachelor's degree or equivalent experience required. JD, MBA or advanced degree preferred

Other Attributes:

  • Highly analytical with strong critical thinking skills and ability to provide compliance guidance that balances relevant regulatory requirements, risk mitigation and business objectives.
  • Ability to spot relevant issues and solve problems through a practical business lens.
  • Exceptional written and oral communication skills.
  • Must excel at collaboration, partnership and relationship building.
  • A strong bias for simplicity.
  • Comfortable in ambiguity, self-directed and an agent and advocate for change.
  • Ability to lead and influence teams
  • Highly organized and strong project management skills
  • Ability to prioritize work and effectively manage time
  • Work independently and as a team member
  • Creativity, flexible and positive mindset, and ability to lead and drive change
  • Continuous improvement and global business mindset



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