Job Overview
Compensation
Salary
Range $110,000.00 - $181,025.00
Benefits
Health Insurance
Dental Insurance
Paid Time Off
Retirement Plan
Employee Discounts
remote work options
Professional development opportunities
Job Description
Allstate is a leading insurance and financial services company with a rich history spanning more than 90 years. Known for its innovation and commitment to customer protection, Allstate has been at the forefront of industry advancements, including advocacy for critical safety measures like seat belts and airbags. The company has earned a reputation for leveraging technology and data, such as telematics and device protection, to meet the evolving needs of its clients.
The role of Compliance Manager at Allstate is integral to maintaining the integrity and effectiveness of the firm's Registered Investment Adviser (RIA) compliance program. This position is responsible for designing, implementing, and operating a regulatory compliance framework that aligns with the Investment Advisers Act of 1940. The Compliance Manager plays a critical role in exam readiness, risk identification, and the practical supervision of compliance activities. Working closely with the Investments Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit, the Compliance Manager ensures Allstate's compliance controls adhere to SEC rules, firm policies, and regulatory expectations.
This role involves responding to complex inquiries, supervising both routine and semi-complex compliance functions, and possibly directing junior staff in day-to-day and project-related activities. The ideal candidate is hands-on, detail-oriented, and adept at translating regulatory requirements into actionable procedures, training programs, testing, and documentation. With an emphasis on maintaining a robust compliance framework, this role contributes to the overall governance and risk management efforts of the investments division. Compensation ranges from $110,000 to $181,025 annually, dependent on experience and qualifications. This position underscores Allstate's commitment to hiring highly qualified professionals capable of upholding the highest standards in investment compliance while fostering a culture of continuous improvement and innovation.
The role of Compliance Manager at Allstate is integral to maintaining the integrity and effectiveness of the firm's Registered Investment Adviser (RIA) compliance program. This position is responsible for designing, implementing, and operating a regulatory compliance framework that aligns with the Investment Advisers Act of 1940. The Compliance Manager plays a critical role in exam readiness, risk identification, and the practical supervision of compliance activities. Working closely with the Investments Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit, the Compliance Manager ensures Allstate's compliance controls adhere to SEC rules, firm policies, and regulatory expectations.
This role involves responding to complex inquiries, supervising both routine and semi-complex compliance functions, and possibly directing junior staff in day-to-day and project-related activities. The ideal candidate is hands-on, detail-oriented, and adept at translating regulatory requirements into actionable procedures, training programs, testing, and documentation. With an emphasis on maintaining a robust compliance framework, this role contributes to the overall governance and risk management efforts of the investments division. Compensation ranges from $110,000 to $181,025 annually, dependent on experience and qualifications. This position underscores Allstate's commitment to hiring highly qualified professionals capable of upholding the highest standards in investment compliance while fostering a culture of continuous improvement and innovation.
Job Requirements
- Bachelor’s degree in finance, business, law, or related field
- Minimum 7 years of relevant experience in investment compliance
- Strong understanding of regulatory frameworks and compliance policies
- Ability to perform risk assessments and compliance testing
- Excellent written and verbal communication skills
- Capacity to work both independently and collaboratively in a team environment
- Willingness to submit to a background investigation
- Reliable internet with minimum speeds of 50 MB download and 5 MB upload for remote work
- Dedicated, private workspace free from distractions for remote work
Job Qualifications
- 7+ years of experience in investment compliance including policy development, monitoring, regulatory reporting, and risk assessment
- Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
- Proven experience in designing and implementing compliance programs
- Excellent analytical, communication, and interpersonal skills
- Ability to manage complex projects and meet deadlines
- Experience supervising or leading teams
- Detail-oriented with strong problem-solving capabilities
- Proficient in compliance monitoring systems and related software tools
Job Duties
- Supervises, develops, maintains, and measures investment compliance policies, procedures, and controls
- Administers 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 policy 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
Job Criteria
Experience
No experience required
Job Location
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