Investments Chief Compliance Director

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Job Description

The Law & Regulations Investment Chief Compliance Director is responsible for the strategic execution of the Company's risk-based investment compliance program conducted through two investment advisers: Allstate Investment Management Company ("AIMCO") and Allstate Investments, LLC ("AILLC"). The employee in this role identifies new and existing investment compliance issues and designs, implements, and oversees programs to mitigate regulatory risks relating to Allstate's investment activity, AIMCO, and AILLC.

Key Responsibilities

  • Designs, implements, and oversees a comprehensive, state-of-the-art investment compliance programs
  • Develops and oversees all investment compliance policies, procedures, and governance processes
  • Recruits, retains, develops, and manages a best-in-class team of investment compliance professionals
  • Establishes and oversees an investment compliance training program for investment personnel
  • Oversees and signs off on the preparation and submission of SEC filings and responses to SEC inquiries and examinations
  • Participates in professional associations and engages with Investment Compliance functions in similar entities
  • Ensures department works in tandem with other internal compliance functions, Investment Law, risk management, and internal audit


Job Qualifications

Education and Experience

10+ years' experience in Investments and Compliance

Certificates, Licenses, Registrations
  • J.D. degree
  • Bachelor's degree in Finance or Compliance


Functional Skills

  • Superior ability to function effectively as the highest-level Investment Compliance specialist in an institutional investors' marketplace
  • Outstanding ability to address rapidly changing and heightened oversight in the current investment regulatory environment
  • Expert knowledge of leading industry compliance practices and implementation of compliance programs
  • Exceptional ability to anticipate, monitor and manage compliance risks
  • Extensive knowledge of compliance issues, including valuation, trade allocation, best execution, regulatory filings
  • Deep knowledge of the Investment Advisers Act, Investment Company Act and FINRA requirements
  • Strategic vision, executive presence and ability to maintain confidentiality on sensitive matters
  • Strong ability to manage complex projects successfully with a history of accountability
  • Well-networked within Investments and/or compliance industry
  • Team player with strong written and oral communication skills


The candidate(s) offered this position will be required to submit to a background investigation, which includes a drug screen.

Good Work. Good Life. Good Hands®.

As a Fortune 100 company and industry leader, we provide a competitive salary - but that's just the beginning. Our Total Rewards package also offers benefits like tuition assistance, medical and dental insurance, as well as a robust pension and 401(k). Plus, you'll have access to a wide variety of programs to help you balance your work and personal life -- including a generous paid time off policy.

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Allstate generally does not sponsor individuals for employment-based visas for this position.

Effective July 1, 2014, under Indiana House Enrolled Act (HEA) 1242, it is against public policy of the State of Indiana and a discriminatory practice for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component.

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