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

Date Posted: Feb 8, 2021

Location: New York, NY, US, 10166

Company: MetLife

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


Job Location: 200 Park Ave


Department:  The Corporate Ethics and Compliance Department (CEC) manages the firm’s compliance risks to prevent violations of law, rule, or regulation, and designs and delivers a compliance risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise.  CEC is a risk-based department, focused on emerging risks, and providing constructive challenge to the business and functions, partnering closely with them to implement strong processes and effective controls, as well as to better foster and embed a culture of compliance. CEC monitors trends and changes in regulations and develops and implements firmwide and divisional policies and procedures.


The Role: The AVP, U.S. Business Compliance will be responsible for leading the CEC program for MetLife’s Retirement and Income Solutions business (the Business). This CEC officer will be a member of the Senior Leadership Team of the EVP, Retirement and Income Solutions. This CEC officer will be responsible for offering credible challenge, escalation of issues and reporting, as appropriate, and working closely with the Business to implement controls and guidelines while ensuring compliance with global and regional policies, procedures and standards, law, rule and regulation. This role entails working closely and collaborating with Business leadership and the functions on strategic initiatives and emerging issues.


Key Responsibilities:

  • Develop strategic relationships with Business leaders and inform them of significant compliance matters that require their attention or action.  Proactively anticipate or help the business plan for changes in the compliance and regulatory environment.
  • Provide support to the Business 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.
  • 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 methodically working to strengthen compliance coverage of the Business.
  • Advise on and providing credible challenge to the Business’ compliance with relevant laws, regulations, and compliance policies.
  • Advise on compliance policy interpretation and working with the Business to resolve significant breaches and violations of such policies, and external reporting when required.
  • Participate in meetings with key Business 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 implement changes accordingly.
  • Oversee the ongoing monitoring and testing of the control environment related to key compliance risks identified for the Business 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 Business team members to reinforce the importance of the CEC program and the applicability of the CEC policies and procedures, and the three lines of defense model for managing compliance risk.
  • Identify and communicate results of compliance risk assessments, compliance-identified issues, and control concerns to appropriate senior management including Business leaders, Risk Management, Legal Affairs and Operations officers.
  • 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 concerns, and top emerging risks. Assisting in developing new controls and/or processes to improve the control environment.
  • Act as a key contact to Business associates for all compliance-related questions or concerns.


Key Relationships:

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


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 the Business, 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 $600 billion of total assets under management as of December 31, 2019. We are ranked #44 on the Fortune 500 list for 2019. In 2019, we were named to the Dow Jones Sustainability Index (DJSI) for the fourth year in a row. DJSI is a global index to track the leading sustainability-driven 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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