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VP, Employee Compliance and Emerging Risks

Date Posted: Feb 19, 2021

Location: New York, NY, US, 10166

Company: MetLife

Position:        VP, Head of Employee Compliance and Emerging Risks


Job Location:            New York, NY


Corporate Ethics and Compliance:  MetLife’s Global Risk Management organization serves as a strategic enterprise partner to enable responsible growth in our role as a leading and innovative provider of global protection planning and retirement and savings solutions to tens of millions of customers worldwide.  The department is committed to building a best-in-class second line of defense for risk identification, measurement, and mitigation.  


Within Global Risk, Corporate Ethics and Compliance (CEC) provides for shared ownership of risk management and better coordination of risk prioritization across the company.  CEC is responsible for designing and delivering a framework to help MetLife embed compliance and ethical behavior standards in business processes while enabling performance and growth.  In its role as a strategic advisor, CEC focuses on existing and emerging risks, partnering constructively with the businesses and functions to implement strong processes, establish effective controls, and foster a culture of compliance.  CEC monitors regulatory and industry trends and changes in order to develop and implement appropriate global and regional policies and procedures.


The Role: Reporting to the Senior Vice President for Enterprise Compliance Programs (ECP), the VP–Employee Compliance and Emerging Risks is a key member of the ECP leadership team with broad responsibility for driving development of and managing staff responsible for MetLife’s compliance programs related to employee activities (“Employee Compliance”) and emerging compliance risks. As well, this VP will develop and implement the compliance framework and coverage model for MetLife’s corporate functions, including Marketing, Risk, Finance, Technology, Operations, Legal, Human Resources, Communications, and Corporate Affairs (“Functions”). Finally, the successful candidate will function as the head of strategy and planning for ECP (as currently structured ECP encompasses the MetLife Corporate Privacy Office, Anti-Financial Crime Compliance, the Ethics Office, and Sales Practice Compliance).


During framework design and program build, the Head of Employee Compliance and Emerging Risks will be a member of the Functions’ senior leadership teams, providing compliance-related strategic advice on operations, initiatives, and emerging issues.  This individual is responsible for offering credible challenge, escalation of issues, and reporting, as appropriate. He/she/they will work closely with CEC colleagues to implement controls and guidelines while ensuring compliance with global and regional policies, procedures and standards, laws, rules, and regulations.


This person will serve as a thought leader to help identify, communicate, and address emerging compliance risks across MetLife’s global businesses and functions. In order to succeed, candidates require compliance and risk-management expertise, collaborative leadership and influencing capabilities, and ability to drive enterprise-wide impact. This is an opportunity to join MetLife to contribute to the transformation and elevation of compliance risk management. We are seeking forward-looking leaders excited to embrace and lead change, inspire and motive talent, collaborate on compliance best practices, and work methodically to strengthen compliance coverage areas.


Key Relationships:

  • Reports to:               SVP, Head of Enterprise Compliance Programs 
  • Direct reports/team:       3-5 directs, team of 4-6
  • Key Stakeholders:    Senior leaders in HR, Global Technology and Operations, Marketing, Risk Management, Finance, Internal Audit, Communications, Government Relations, and Legal Affairs; Regional & Investments Compliance heads, Compliance Governance, ECP Leadership team



Key Responsibilities:


Employee Compliance and Emerging Risks

  • Manage relevant staff and oversee development of CEC program for employee-activity related compliance risks, including ongoing maintenance of and training related to the code of business ethics, enhance the conflict of interest framework and program, and establish a conduct risk program
  • In conjunction with an individual contributor, serve as a thought leader on emerging compliance risks and develop and implement a holistic approach to identifying and handling these risks. For example, as the universe and impact of social media and messaging tools continues to expand rapidly with pronounced influence on our business, the team will work with Legal, HR and technology partners to harmonize existing policies related to electronic communications and develop a global approach for this area.
  • Identify potential compliance gaps; develop and oversee implementation of remediation strategies as appropriate
  • Partner with Internal Audit, Risk Management, Government Relations, and Legal Affairs to understand identified weaknesses in controls, areas of concerns, and top emerging risks. Assist in developing new controls and/or processes to improve the control environment
  • Participate in meetings with key stakeholders to stay informed of new product ideas, business strategies and initiatives, and emerging risks


Corporate Functions Compliance

  • Program development
    • Design and implement a global coverage program for Corporate Functions
    • Oversee transition of Corporate Functions coverage responsibility to other CEC and ECP areas consistent with program design
  • Program implementation and execution
    • Act as a resource to assess and facilitate responses to escalations; work with the Functions to resolve breaches and violations; support external reporting when required
    • Monitor regulatory examination findings to ensure identified control weaknesses relevant to compliance coverage areas are addressed
    • Oversee the ongoing monitoring and testing of the control environment related to key compliance risks; recommend and/or implement control enhancements to address deficiencies
    • Identify and communicate results of compliance risk assessments and control concerns to appropriate senior management, including Function leaders, Risk Management, Legal Affairs, and GTO
    • Partner with first line of defense leaders to drive continuous improvement of controls and compliance risk management, including self-identification of issues and embedding escalation and monitoring processes
    • Maintain, update, and ensure communication of updated compliance policies and procedures to relevant associates; oversee and conduct ongoing training to reinforce the importance and applicability of CEC program, policies and procedures
    • Participate in the design and execution of Non-Financial Risk Assessments relevant to coverage areas
  • Strategic advisory and regulatory change management
    • Build trusted relationships with global Functions leadership to provide strategic advice on existing and emerging compliance risk issues, including relevant impact of firmwide initiatives on their operations
    • Advise on compliance with relevant laws, regulations, and policies, providing credible and constructive challenge where appropriate
    • Anticipate, inform, and help plan for changes in the compliance and regulatory environment; analyze the potential impact of regulatory changes on coverage groups; help ensure effective education; oversee implementation of necessary changes
    • Act as a key contact to associates in the Functions for compliance-related questions or concerns


CEC Transformation & Leadership

  • Contribute to the transformation of CEC through forward-looking leadership, embracing change, collaborating on compliance best practices, and methodically working to strengthen MetLife compliance risk management
  • Develop and manage a multi-function Compliance team to create, implement and execute global programs for Functions coverage, emerging risks, and employee-activity related compliance risks
  • Champion a high-performance environment and implement a people plan that attracts, coaches, develops, and retains talent
  • Embrace diversity and motivate teams by fostering an inclusive work environment; communicate vision / values / business strategy and manage succession
  • Work closely with peers in CEC, the business and corporate functions to ensure consistent adherence to processes and approaches, best practice sharing, and economies of scale, breaking through silos and encouraging a collegial, globally coordinated CEC program and ethical control culture


Essential Business Experience and Technical Skills:

Expertise & experience

  • 12+ years of relevant experience in compliance, legal,  risk management, finance, SOX, technology controls or other similar area, including experience developing or managing a controls or compliance program and promoting a risk-aware, governance, and ownership mindset, ideally within financial services or insurance
  • Ideally has experience with compliance programs specific to employee compliance, including ethics, conflict of interest, and insider threat, within a large global public company
  • Expertise in and proven ability to interpret and apply laws and regulations to corporate policy and procedures
  • Demonstrated effectiveness assessing risks and developing controls and processes appropriate to firm risk appetite while eliminating unnecessary and inefficient processes and activities
  • Knowledge of rules and regulations applicable to MetLife and its businesses, including state insurance laws, federal securities laws, and other applicable regulatory regimes preferred



  • Excellent interpersonal skills and organizational intelligence required to develop partnerships in a complex, global, matrixed environment
  • Demonstrated ability to interface with and influence senior business and functional leaders
  • Technology and data management acumen to enable productive partnerships with GTO and other partners
  • Strong record of driving success within a collaborative team framework
  • Organizational intelligence and effective collaboration across global, diverse, and multi-functional teams



  • Proactive change management leader able to envision, communicate, and implement a risk-based coverage strategy for Employee Compliance, the Functions, and emerging risks
  • Strategic and forward-looking thinker; anticipates and plans for regulatory developments, making sound recommendations and decisions on complex matters
  • Track record of motivational and influential leadership to achieve business objectives through clear communication of the company’s vision; able to flex style to build trust and inspire high performance and accountability in an inclusive environment
  • Results oriented; sets  clear goals and  drives performance, striving for continuous improvement,  ensuring high standards, and celebrating achievements
  • 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


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 $659.6 billion of total assets under management as of December 31, 2020. We are ranked #48 on the Fortune 500 list for 2020. 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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