Senior Compliance Officer – Investment Compliance Specialist

American Family Insurance

. Assess and monitor the compliance program for American Family Investments .

Posted 10/15/2026full-timeUnited StatesSenior💰 $113,000 - $194,000 per yearWebsite

About the role

Key responsibilities & impact

Assess and monitor the compliance program for American Family Investments
Conduct daily compliance monitoring, audits, examinations, inquiries, reporting, certifications, due diligence meetings, and policy and procedure development
Oversee monitoring and enforcement activities, including overnight exception alerts, unauthorized rule coding reconciliations, manual rule monitoring, and pre-trade/intraday monitoring
Monitor and report potential investment policy breaches and conflicts of interest
Ensure compliance with federal and state insurance regulations
Collaborate with unaffiliated investment advisers regarding investment guideline limits and restrictions
Review adviser certification questionnaires and communicate notable findings to management
Ensure annual regulatory compliance certifications are completed and delivered before filing deadlines
Review, maintain, test, document, implement, and enforce firm-wide compliance policies and procedures
Code and maintain Aladdin tests, rule libraries, tokens, and macros
Manage the compliance relationship with BlackRock and troubleshoot or escalate systems-related issues
Administer the Code of Ethics and compliance systems, including employee onboarding, training, records maintenance, and personal securities transaction and outside business activity reviews
Facilitate audits and examinations and prepare attestations
Prepare, review, and submit regulatory filings including Form 13F, Schedule 13G, Form 13H, and Form N-PX
Provide ad hoc support and thought leadership on compliance best practices and regulatory developments
Educate the portfolio management team on new regulatory developments

Requirements

What you’ll need

Experience with providing client-driven solutions, support, and service
Deep understanding of securities trade lifecycle, trading practices, and workflows for various financial instruments and asset classes, including Treasuries, Corporates, Municipals, ABS, CMBS, Equities, Convertibles, Commercial Real Estate Loans, Private Equity, and/or Derivatives
Background in Investment Advisers Act of 1940, Investment Company Act of 1940, SEC reporting, ERISA, State Insurance Regulations, AML, KYC, OFAC sanction monitoring, and/or designing/executing compliance policies and procedures
Familiarity with investment accounting and investment management operations
Understanding of technology, capital market, and accounting data flows, and relational databases
Experience using buy-side compliance software systems, such as Blackrock Aladdin, Bloomberg AIM, Orion Compliance, StarCompliance, or MyComplianceOffice
Sponsorship will not be considered for this position unless specified in the posting
Offer contingent on applicable background checks
Offer contingent on signing a non-disclosure agreement for proprietary information, trade secrets, and inventions

Benefits

Comp & perks

Relocation support for eligible candidates
Comprehensive medical, dental, vision and wellbeing benefits
Competitive 401(k) contribution
Pension plan
Annual incentive
9 paid holidays
Paid time off program: 23 days accrued annually for full-time employees
Student loan repayment program
Paid-family leave
New Employee Orientation and onboarding support
Reasonable accommodation support