Supervises, d evelop s , maint ains , and measures investment compliance policies, procedures, and controls.
Administ ers annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting and employee attestations.
Manages critical compliance related ad-hoc and special projects from inception to implementation.
Monitors regulatory developments and researches industry changes, trends, and best practices to recommend new or revised procedures as necessary.
Monitors client portfolios for compliance with investment p olicy and statutory investment limits, works to resolve potential exceptions and administers compliance rules in the monitoring system.
Reports routine and complex compliance exceptions and materials to the Investments Chief Compliance Officer senior leadership and responds to in-depth questions.
Prepares management and governance reports for senior Investment leaders and the Adviser's Board of Directors regarding the compliance programs results and potential issues.
Performs periodic risk assessments, reviews and tests to ensure successful implementation of policies and procedures through surveillance, monitoring, and examinations.
Guides junior compliance staff in day to day and project related actives .
This job has potential supervisory duties .
7+ years of experience in investment compliance, including policy development, monitoring, regulatory reporting, and risk assessment.
Compensation offered for this role is 110,000.00 - 181,025.00 annually and is based on experience and qualifications.The candidate(s) offered this position will be required to submit to a background investigation.Allstate generally does not sponsor individuals for employment-based visas for this position.For jobs in San Francisco, please click " here " for information regarding the San Francisco Fair Chance Ordinance.For jobs in Los Angeles, please click " here " for information regarding the Los Angeles Fair Chance Initiative for Hiring Ordinance.To view the "EEO Know Your Rights" poster click " here ". This poster provides information concerning the laws and procedures for filing complaints of violations of the laws with the Office of Federal Contract Compliance Programs.To view the FMLA poster, click " here ". This poster summarizing the major provisions of the Family and Medical Leave Act (FMLA) and telling employees how to file a complaint.It is the Company's policy to employ the best qualified individuals avVision insurance
Additional Information
At Allstate, great things happen when our people work together to protect families and their belongings from life's uncertainties. And for more than 90 years, our innovative drive has kept us a step ahead of our customers' evolving needs. From advocating for seat belts, air bags and graduated driving laws, to being an industry leader in pricing sophistication, telematics, and, more recently, device and identity protection.
Job Description
We are seeking a Compliance Manager to support and strengthen our Registered Investment Adviser (RIA) compliance program. The team is responsible for designing, implementing, and operating a compliance program 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 Investments Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit to help ensure the firm maintains a robust compliance framework aligned with SEC rules, firm policies, and regulatory expectations. Additionally, this role supports Investments by responding to complex and non-routine inquiries and the Compliance Department in supervising the routine and performing the semi complex day to day functions of the department. The Compliance Manager may also lead individuals in day to day and project related activities. The ideal candidate is hands-on, detail-oriented, and able to translate regulatory requirements into practical procedures, testing, training, and documentation.
Allstate · Chicago River Point