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Head of MetLife Holdings Compliance and U.S. Core Compliance

Date Posted: Dec 28, 2021

Location: New York, NY, US, 10172

Company: MetLife

Position:  Head of MetLife Holdings Compliance and U.S. Core Compliance


Job Location: 200 Park Ave., New York, NY


Department:  The Corporate Ethics and Compliance Department (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 business and functions, partnering closely with them to implement strong processes and effective controls, as well as a to foster a culture of compliance.


The Role: The Head of MetLife Holdings Compliance and U.S. Core Compliance will be responsible for leading the CEC program for the MetLife Holdings (MLH) business and core compliance programs that span across MetLife’s U.S. business.


Head of Compliance for MLH

You will be responsible for compliance coverage for MLH, a closed-block business of MetLife’s former Retail segment (traditional life insurance, variable and fixed annuities, and long-term care). You will also be a member of the Senior Leadership Team of the EVP, MetLife Holdings. Additionally, you will be responsible for managing the MLH CEC unit, including offering credible challenge, escalation of issues and reporting, as appropriate, and working closely with the Business to implement controls and guidelines, which are responsive to new and/or changing law, rule, regulation or MetLife policy, procedure and standards, while ensuring compliance with global and regional policies, procedures and standards, law, rule and regulation. This role entails working closely and collaborating with MLH management and the functions on strategic initiatives and emerging issues.


Head of U.S. Core Compliance Programs:

As the Head of MetLife Holdings Compliance and U.S. Core Compliance you will also be responsible for the design, review, and execution of a number of core compliance programs for all U.S. businesses and operations (MLH, Group Benefits, Financial Wellness, and Retirement and Income Solutions) including elder protection, third party administrator compliance, and complaints tracking. You will lead a team of compliance professionals responsible for the day-to-day execution of these core compliance programs. You will lead the design of enhancements for these programs with a focus on driving efficiency and productivity to deliver compliance programs that are relevant to the U.S. Business and MetLife Holdings and aligned with applicable laws, regulations, and industry expectations. These programs are a critical aspect of the U.S. Compliance Program, ensuring that core compliance risks are managed effectively across all U.S. lines of business.


Key Responsibilities:

  • Develop strategic relationships with MLH management and inform them of significant compliance matters that require their attention or action. Proactively anticipate or help plan for changes in the compliance and regulatory environment.
  • Provide support to MLH on policy interpretation and “gray area” exposures.
  • Advise on and providing credible challenge to MLH’s compliance with relevant laws, regulations, and compliance policies.
  • 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 MLH 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.
  • Advise on compliance policy interpretation and working with MLH to resolve significant breaches and violations of such policies, and external reporting when required.
  • Participate in meetings with key business partners 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.
  • 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.
  • Oversee the ongoing monitoring and testing of the control environment related to key compliance risks identified for MLH 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 MLH associates 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 MLH leaders, Risk Management, Legal Affairs and Operations officers.
  • Act as a key contact to MLH associates for all compliance-related questions or concerns.
  • Design, enhance, and implement core risk-based compliance programs across the U.S., including elder protection, , complaints, and third-party administrator compliance.
  • Provide supports to other line of business teams in U.S. Compliance (e.g., Group Benefits, RIS) on the execution of core compliance programs
  • Work closely across U.S. Compliance to ensure consistent processes and approaches are followed
  • Identify and address key-person dependencies for core compliance programs; ensuring cross-training where needed for continuous coverage


Key Relationships:

  • Reports to: Senior Vice President, U.S. and Latin America Compliance
  • Direct Reports: Three to four compliance officers
  • Key Stakeholders: Executive Vice President, MetLife Holdings


Candidate Qualifications:

Business Knowledge/Technical Skills:

  • 10+ years of experience in the insurance and/or employee benefits industry with a legal and/or compliance mindset.
  • 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.
  • 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.
  • 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.
  • Knowledge of insurance industry, and principles of insurance sales and back-office operations essential, particularly involving group sales.
  • Knowledge of rules and regulations applicable to MetLife and MLH, including state insurance laws, federal securities laws, and other applicable regulatory regimes.


Leadership Competencies:

  • Motivates People – Gains people commitment to achieve business objectives through clear communication of the company’s vision and flexing leadership styles to inspire high performance.
  • Creates Partnerships – Automatically builds trusted relationships and collaborates across global, diverse, and multi-functional teams to successfully drive business objectives.
  • Models our Values – Creates a culture that promotes the company’s values and standards through role modeling, accountability, and ownership of decisions.
  • Drives Results – Sets aggressive goals and is accountable for continuously driving improved performance, leading change, and ensuring high standards.


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 US 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.  Visit us at to learn more about our brand, history, and values. 


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. 


Nearest Major Market: New York City