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Head of Compliance, U.S. Retirement and Income Solutions

Date Posted: Sep 21, 2021

Location: New York, NY, US, 10166

Company: MetLife

PositionHead of Compliance, U.S. Retirement and Income Solutions


Job Location: 200 Park Ave


Department:  Corporate Ethics and Compliance (CEC) delivers a compliance risk framework that enables the businesses and functions to comply with applicable internal and external rules and regulations and maintain risk levels within MetLife’s risk appetite. CEC provides constructive challenge to the businesses and functions, partnering closely with them to implement strong processes and effective controls, as well as to foster and embed a culture of compliance.


The Role: The Head of Compliance will be responsible for leading the CEC program for MetLife’s Retirement and Income Solutions business (RIS). This CEC officer will be a member of the Senior Leadership Team of the EVP and Head of RIS. In this capacity, he/she will be responsible for offering credible challenge, identifying compliance issues and reporting, as appropriate. This role will work closely with the RIS business and operations implementing controls and guidelines to ensure compliance with MetLife global and regional policies, procedures and standards as well as laws and regulations at the state and federal level. This role entails working closely and collaborating with RIS leadership and functional partners, including Legal and Risk, on strategic initiatives and emerging issues. He/she will lead a team of Compliance officers who conduct second line testing and monitoring, report on metrics and key risks, execute on risk assessments, and provide day-to-day support to RIS on all compliance-related matters.


Key Responsibilities:

  • Develop strategic relationships with RIS leaders and inform them of significant compliance matters that require their attention or action.  Proactively anticipate or help RIS plan for changes in the compliance and regulatory environment.
  • Provide support to RIS on policy interpretation and “gray area” exposures.
  • Build and maintain strong relationships with other functional leads, including Legal Affairs, Internal Audit, and Risk Management to create a supportive and seamless compliance and ethical control culture with an appropriate risk environment.
  • Maintain staffing levels in support of business strategy with resources of requisite experience and skillset, and actively create and update succession plans, providing opportunity for talent to develop.
  • Review the team organization structure and create opportunities to build team effectiveness, and drive efficiencies
  • Work with management to ensure continued improvement in self-identification of issues, and appropriate escalation and monitoring processes to ensure timely and effective remediation to mitigate compliance risk.
  • Be a transformation leader for CEC to strengthen CECs and MetLife’s compliance risk management by being forward looking, embracing and leading change, collaborating on compliance best practices, and ensuring the team is organized appropriately to provide meaningful compliance coverage to RIS.
  • Advise on and provide credible challenge to RIS’ compliance with relevant laws, regulations, and compliance policies.
  • Advise on compliance policy interpretation and work with the Business to resolve significant breaches and violations of such policies, and external reporting when required.
  • Participate in meetings with key stakeholders to stay informed of new product ideas, business strategies and initiatives, and emerging risks.
  • Stay abreast of changes in the U.S. regulatory environment and analyze the business impact of regulatory changes.  Ensure that pertinent new laws and regulations are included in the inventory of applicable laws and regulations maintained, and that business operations are educated appropriately and changes implemented accordingly.
  • Oversee the ongoing monitoring and testing of the control environment related to key compliance risks identified and recommend and/or implement control enhancements when control deficiencies are identified.
  • Maintain and update compliance policies and procedures. Ensure revisions are communicated to relevant associates.
  • Oversee and conduct ongoing training to reinforce the importance of the CEC program and the applicability of compliance policies and procedures, and the three lines of defense model for managing compliance risk.
  • Support RIS in driving the non-financial risk self-assessment to identify and measure inherent and residual risk
  • Identify and communicate results of compliance risk assessments, compliance-identified issues, and control concerns to appropriate senior management
  • Stay abreast of all regulatory examination findings to ensure control weaknesses identified by regulators are addressed.
  • Partner with Internal Audit, Risk Management, Government Relations, and Legal Affairs to understand any identified weaknesses in controls, areas of concern, and top emerging risks. Assisting in developing new controls and/or processes to improve the control environment.
  • Act as a key contact to RIS associates for all compliance-related questions or concerns.


Key Relationships:

  • Reports to: Senior Vice President, U.S. and Latin America Compliance
  • Direct Reports: Three compliance officers
  • Key Stakeholders: Executive Vice President (EVP), Retirement and Income Solutions, Senior Leadership Team, RIS


Candidate Qualifications:


Essential Business Experience and Technical Skills:

  • 10+ years of experience in the insurance and/or employee benefits industry with a legal and/or compliance mindset;
  • Deep knowledge of insurance industry, and principles of insurance sales and back-office operations essential;
  • Knowledge of rules and regulations applicable to MetLife and RIS, including state insurance laws, federal securities laws, and other applicable regulatory regimes.
  • Educational background – minimum bachelor’s degree; JD and/or MBA preferred;
  • Excellent analytical and research skills. Ability to apply critical thinking is essential;
  • Excellent written and verbal communication skills, including the ability to prepare and conduct presentations and communications with senior and executive management;
  • Ability to identify and assess risk and communicate results to management. Ability to analyze risks and controls and determine when controls are not operating effectively;
  • Strong interpersonal, management, leadership, and motivational skills;
  • Must be a dedicated, self-motivated individual with an ability to work independently and in a team environment;
  • Must be a results-oriented, performance-based leader who will produce results based on stated goals and objectives and must be able to ensure that individuals in the organization produce results based on their respective performance plans


MetLife Success Principles

  • Experiment with Confidence – Courageously learn and test new ideas without fear of failure
  • Act with Urgency – Demonstrate speed to action with agility and determination
  • Seek Diverse Perspectives – Source ideas and feedback to expand thinking and make informed decisions
  • Seize Opportunity – Drive responsible growth and identify areas for continuous improvement
  • Champion Inclusion – Foster an environment where everyone is valued, heard, and can speak up
  • Create Alignment – Partner with others across the organization with candor and transparency
  • Take Responsibility – Be accountable and act in pursuit of the right outcomes
  • Enable Solutions – Anticipate and address obstacles while managing risk
  • Deliver What Matters – Execute meaningful priorities and follow through on commitments



MetLife, through its subsidiaries and affiliates, is one of the world’s leading financial services companies, providing insurance, annuities, employee benefits and asset management to help its individual and institutional customers navigate their changing world. Founded in 1868, MetLife has operations in more than 40 countries and holds leading market positions in the United States, Japan, Latin America, Asia, Europe and the Middle East.


We are one of the largest institutional investors in the U.S. with $642.4 billion of total assets under management as of March 31, 2021. We are ranked #46 on the Fortune 500 list for 2021. In 2020, we were named to the Dow Jones Sustainability Index (DJSI) for the fifth year in a row. DJSI is a global index to track the leading sustainability-driven companies. We are proud to have been named to Fortune magazine’s 2021 list of the “World’s Most Admired Companies.”      


MetLife is committed to building a purpose-driven and inclusive culture that energizes our people. Our employees work every day to help build a more confident future for people around the world.


We want to make it simple for all interested and qualified candidates to apply for employment opportunities with MetLife.  If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to or call our Employee Relations Department at 1-877-843-3711.


MetLife is a proud Equal Employment Opportunity and Affirmative Action employer dedicated to attracting, retaining, and developing a diverse and inclusive workforce. All qualified applicants will receive consideration for employment at MetLife without regards to race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity or expression, age, disability, national origin, marital or domestic/civil partnership status, genetic information, citizenship status, uniformed service member or veteran status, or any other characteristic protected by law.


MetLife maintains a drug-free workplace.


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