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Head of Investments Core Compliance Programs and Broker/ Dealer Compliance

Date Posted: Oct 13, 2021

Location: Whippany, NJ, US, 7981

Company: MetLife

Job Location: Whippany, NJ


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.


MetLife Investment Management: MetLife Investment Management (MIM) is a global asset manager with $642.4 billion of total assets under management as of March 31, 2021. The enterprise has more than 900 dedicated professionals and manages money in a number of asset classes for MetLife’s general account, insurance company subsidiaries, and third parties separate accounts and private funds. MIM provides public fixed income, private capital, and real estate investment solutions to institutional investors worldwide. Visit us at to learn more.


The Role:  Reporting directly to the SVP, Global Investments Chief Compliance Officer, the VP and Head of Investments Core Compliance Programs and Broker/Dealer Compliance will be responsible for building and overseeing core compliance programs for the MIM’s platform, MetLife’s Affiliated Insurance Companies (AIC) representing the general account, and MetLife’s two US registered broker-dealers. Leading a global team of 6-8 compliance officers, 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 trading activity, preventing conflicts of interest and insider trading, and ensuring compliance with new, and increasingly complex, financial regulations.


This VP will also be responsible for leading the team that reviews and implements core compliance programs for MetLife’s broker/dealers to satisfy regulatory requirements, including conflicts of interest, electronic communication surveillance, outside business activities, insider trading, and OSJ office inspection programs. This role will engage directly with FINRA and must be able to develop and maintain effective relationships, facilitate discussions, and demonstrate strategic leadership regarding the broker-dealer compliance program.


In addition to deep compliance subject matter expertise, the successful candidate will demonstrate commitment and skill in building collaborative teams, 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 Relationships:

  • Reports to: SVP, Head of Global Investments Compliance 
  • Direct reports/team:  6-8 compliance officers 
  • Key Stakeholders: Leadership across CEC, MIM, and the AIC; MetLife’s broker/dealers; functional partners in Legal, Audit, IT, Corporate Licensing


Key Responsibilities:

  • Manage advisory compliance and associated control environments, serving as a trusted advisor to the business while encouraging a culture of robust challenge
  • Design, enhance, and implement core asset management and broker/dealer compliance programs, including conflicts of interest, outside business activities, insider trading, monitoring and testing, and electronic communication surveillance
  • Review and make right-sized enhancements to strengthen existing compliance policies and procedures
  • Stay abreast of, analyze, and advise of business impact of changes in the regulatory environment
  • Bring together disparate broker-dealer teams to create a collaborative, risk-based, and integrated function
  • Issue spot, analyze, scope, and manage the complexity of risks and regulations impacting MIM, including engaging directly with regulators; proactive and strategic thinker able to outline risk and make clear recommendations
  • Review the organizational structure to ensure appropriate staffing levels to provide coverage of key compliance risks, build team effectiveness, drive efficiencies, and share compliance best practices across global regulated entities, including in the US, UK, Ireland, Japan, Hong Kong and other jurisdictions where MIM operates now or in future
  • Partner with senior investments and functional leaders in IT, Legal, Licensing, and Audit to ensure awareness of key compliance risk areas; develop and implement mandatory and targeted training as needed
  • Collaborate with investments partners to stay informed of and provide input on new product ideas, business strategies and initiatives, and emerging risks
  • Design and implement appropriate surveillance and monitoring processes to ensure timely and effective remediation to mitigate compliance risk; provide meaningful compliance reporting and insights to senior management
  • Work closely with peers in CEC to ensure consistent processes and approaches, breaking through silos and encouraging a collegial and globally coordinated enterprise compliance model.


Essential Business Experience and Technical Skills:

  • 15 + years of experience in a core compliance, legal, audit or related leadership role in investment advisory or asset management and/or serving in a business compliance management capacity
  • 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
  • Deep 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
  • Executive communication skills and proven ability to partner effectively internally with senior investments leaders on compliance matters and externally with regulatory authorities as needed
  • Organizational intelligence; builds and maintains strong relationships with other functions, including Legal Affairs, Risk Management, IT, and Internal Audit, to create a seamless compliance and ethical control culture to enable the business
  • Insightful and inclusive leader; builds purpose-driven and high-performance environments through a people strategy that attracts, retains, and develops talent while embracing diversity
  • Change management and results-orientation; forward-looking and agile champion of compliance transformation that embraces change, collaborates on best practices, and works methodically to ensure fit-for-purpose compliance coverage
  • 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
  • Bachelor’s degree expected; JD, MBA, CFA, or equivalent preferred


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 US with $642.4 billion 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.