Investments Compliance Analyst III

Northbrook, Illinois
Not Specified
Oct 13, 2016
Dec 12, 2016
Job Type
Not Specified
Career Level
Not Specified

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Job Description

Job Family Summary:
The Compliance Department of Allstate Investments provides regulatory and operational compliance services to both an unregistered and a Securities and Exchange Commission registered investment adviser. The Compliance Department creates, implements, administers and enforces policies, procedures and activities required for the advisers to maintain compliance with regulatory requirements.

Job Summary:
The Compliance Analyst assists the Compliance Department and business units by ensuring that policies, procedures and practices are consistent with regulatory and control requirements. In addition, this role assists business units by researching and responding to routine inquiries related to our policies and procedures. They also assist the team by performing the routine day to day functions.

Key Responsibilities:

  • Assists with the day-to-day responsibilities related to pre-clearance approvals and limits monitoring for the AIMCO and Allstate Investments LLC portfolios.
  • Assists with periodic risk assessments, routine reviews and tests to ensure successful implementation of policies and procedures through surveillance, monitoring, and examinations and reports the results to a Compliance Manager.
  • Completes forensic testing on trading and operational compliance areas, proposes conclusions and reports the results to a Compliance Manager.
  • Assists in the investigation and collaboration with others to resolve potential compliance issues.
  • Completes testing to assess compliance with the requirements of the Code of Conduct including monitoring employee personal trading and gifts and entertainment activities, proposes conclusions and reports the results to a Compliance Manager.
  • Assists team leadership by participating in compliance related ad-hoc and special projects to improve the compliance program and its overall efficiency.
  • Reports basic compliance results and exceptions to Compliance leadership and responds to questions or review points.
  • Analyzes, proposes solutions and supplies information to a Compliance Manager for the preparation of management and governance reports, including among other things, potential compliance issues, investment limits, and operational concerns.
  • Responds to inquiries and questions pertaining to basic compliance policies and procedures and topics.

Job Qualifications

Bachelor's degree.
Ability to identify and document potential compliance-related issues.
Ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver quality work in a fast-paced environment.
A high degree of discretion and confidentiality.
Team player with good organizational, interpersonal and communication skills.
Strong work ethic, initiative, and a proactive approach.
Good written and oral communication skills.
Consistently demonstrate a positive mindset and behavior.

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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It is the policy of Allstate to employ the best qualified individuals available for all jobs without regard to race, color, religion, sex, age, national origin, sexual orientation, gender identity/gender expression, disability, and citizenship status as a veteran with a disability or veteran of the Vietnam Era.