Co-Chief Compliance Officer – Insurance - Director - Stage

The Co-Chief Compliance Officer will partner to oversee the development, implementation, and monitoring of the enterprise-wide and global insurance compliance program. This includes regulatory compliance related to individual and reinsurance markets, insurance products, operations, and investment management activities. The ideal candidate will bring deep knowledge of regulatory environments affecting both insurance and asset management, particularly within a private equity-backed structure.

RESPONSIBILITIES

Regulatory Compliance & Oversight

• Develop and maintain a comprehensive compliance program that aligns with federal, state, and international insurance regulations (NAIC, DOI, etc.) and investment laws (SEC, FINRA, etc. as applicable).
• Monitor and interpret changes in regulatory requirements and ensure timely implementation across business units.
• Ensure the company complies with requirements related to insurance and investment activities, including alternative investments, private placements, and structured products.

Investment and Insurance Compliance

• Collaborate with the investment team to monitor compliance with trust/portfolio investment guidelines, risk limits, private equity ownership constraints and conflicts of interest.
• Oversee compliance protocols for pre and post transaction investment management, including surveillance of trading activities, asset and liability matching and transfers, allocations, valuation processes, and affiliated and non-affiliated third-party advisors.
• Review and assess compliance related to asset allocation strategies, investment committee governance, and reporting obligations.
• Understand and assess insurance and reinsurance-related issues, including international and domestic regulatory compliance topics.

Governance, Risk & Controls

• Serve as a key advisor to the executive leadership and board on compliance and regulatory risk.
• Lead enterprise-wide risk assessments to identify and address areas of potential compliance vulnerability.
• Establish and maintain robust internal controls, policies, and training programs.

Internal & External Relations

• Liaise with on-shore and off-shore regulatory and quasi-regularly agencies, including state departments of insurance, SEC, NAIC and Bermuda Monetary Authority, as necessary.
• Partner with business to support international expansion efforts for insurance solutions.
• Work closely with internal audit, legal, enterprise risk management teams, and external peer CCOs.
• Support due diligence and compliance integration related to M&A and portfolio activities.

QUALIFICATIONS

• 15+ years of investment management compliance experience in an insurance firm (alternatives a plus)
• Advanced knowledge of trading operations, credit and loans, and hands-on experience with equity offerings of all kinds
• Highly organized self-starter with leadership experience who can manage a large team efficiently to execute on strategic objectives. Drive progression and effectively manage expectations across multiple stakeholders on significant projects and Firmwide initiatives.
• Bachelor’s degree in law, Business, or related field, preferably with an advanced degree
• Ability to understand complex investments and identify areas of Compliance focus.
• Team-player who enjoys working in a collaborative and collegial environment with the desire to learn.
• Robust understanding of the insurance regulatory environment.
• Ability to identify commercial and risk-aware solutions to unprecedented questions.
• Capable of articulating a researched perspective to senior stakeholders.
• Ability to proactively identify and coordinate initiatives relating to new regulations and other issues relevant to the insurance and asset management industries.
• Excellent verbal and written communication skills to efficiently draft policies and procedures and respond to regulatory inquiries that support the business.
• Consistent attention to detail while acting professionally, exercising discretion regarding sensitive subjects, and maintaining confidentiality at all times.
• Comfortable operating in a fast-paced environment with competing priorities.
• Ability to manage multiple demands and projects while prioritizing time efficiently and remaining attentive to detail. 

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