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Director Investments Core Compliance

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Date Posted: Jul 28, 2022

Location(s): Whippany, NJ, US, 7981 Bridgewater, NJ, US, 8807 New York, NY, US, 10166

Company: MetLife

At MetLife, we’re leading the global transformation of an industry we’ve long defined. United in purpose, diverse in perspective, we’re dedicated to making a difference in the lives of our customers.


Role Value Proposition: 


Compliance Risk Management (CRM) 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. CRM 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. CRM is part of Global Risk Management (GRM) and maintains a matrixed reporting line to Legal Affairs.


Reporting directly to the Head of Investments Core Compliance Programs and Broker/Dealer Compliance, the Director of Core Compliance will be responsible for enhancing and overseeing core compliance programs for MIM’s platform, MetLife’s Affiliated Insurance Companies (AIC) representing the general account, and MetLife’s two US registered broker-dealers. This role will ensure the investments and broker/dealer core compliance programs are fit for purpose in light of regulatory expectations, laws, and industry standards. The successful candidate will review existing compliance controls and design enhancements with a focus on driving efficiency, productivity, and integration across the MIM footprint. Guided by a strong understanding of MIM and AIC asset management priorities, as well as market, industry, and regulatory trends, this leader will proactively work with all lines of defense to help identify, manage, and report on compliance risk and mitigation. Relevant core compliance programs include monitoring personal trading activity, preventing conflicts of interest and insider trading, and ensuring compliance with new, and increasingly complex, financial regulations.


This Director will be responsible for core compliance programs, including personal trading, conflicts of interest, electronic communication surveillance, outside business activities, insider trading, and assisting with OSJ office inspection programs as needed. This role must be able to develop and maintain effective relationships, facilitate discussions, and demonstrate strategic leadership across the core compliance program.


In addition to compliance subject matter expertise, the successful candidate will demonstrate commitment and skill in working on a collaborative team, driving engagement, and fostering trusted strategic partnerships with internal stakeholders, partners, and clients. The ability to anticipate and advise on evolving regulatory expectations is critical, as is sound judgment to know when to escalate.


This role is an exciting opportunity to join MetLife to help shape and implement a clear, comprehensive, disciplined, and sustainable compliance risk management framework for our investments business at a time of rapid transformation and global growth.


Key Responsibilities:


  • Design, enhance, and implement core asset management and broker/dealer compliance programs, including but not limited to, code of ethics, conflicts of interest, outside business activities, gifts & entertainment, and electronic communication surveillance
  • Manage advisory compliance and associated control environments, serving as a trusted advisor to the business while encouraging a culture of robust challenge


  • Issue spot, analyze, scope, and manage the complexity of risks and regulations impacting MIM; proactive and strategic thinker able to outline risk and make clear recommendations
  • Review and make right-sized enhancements to strengthen existing compliance processes, policies, and procedures, while staying abreast of and analyzing the impact of business impact of changes in the regulatory environment
  • Partner with senior investments and functional leaders in Risk, IT, Legal, and Audit to ensure awareness of key compliance risk areas; develop and implement mandatory and targeted training as needed
  • Design and implement appropriate surveillance and monitoring processes to ensure timely and effective remediation to mitigate compliance risk; provide meaningful compliance reporting, metrics, and insights to senior management


Essential Business Experience and Technical Skills:



  • 7+ years of experience in a compliance, risk management, legal, audit or related leadership role in investment advisory or asset management and/or serving in a business compliance management capacity
  • Bachelor’s degree in business, finance or similar discipline
  • Comprehensive understanding of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and SEC rules and regulations
  • Comprehensive understanding of ethical walls (information barriers), management of material non-public information, anti-money laundering, and code of ethics relevant to investment management and broker/dealer industries
  • Excellent written and verbal communication skills, strong interpersonal skills, including the ability to prepare and conduct presentations and communications with senior management;
  • Organizational intelligence; builds and maintains strong relationships with other functions, including Legal, Risk Management, IT, and Internal Audit, to create a seamless compliance and ethical control culture to enable the business
  • Practical working knowledge of technology and software relevant to surveillance and reporting, e.g. OpenPages, OWS, World Check; proficiency in Microsoft Excel and PowerPoint expected



  • FINRA Series 24 license would be a plus
  • MBA or other advanced degree preferred.


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.  For further information about how to request a reasonable accommodation, please click on the Disability Accommodations link below.



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.



Requisition #: 126396