We are seeking a Compliance Manager to support and strengthen our Registered Investment Adviser (RIA) compliance program. The team is responsible for designing, implementing, and operating a compliance program aligned with the Investment Advisers Act of 1940, with a strong emphasis on exam readiness, risk identification, and practical supervision. This role partners closely with the Investments Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit to help ensure the firm maintains a robust compliance framework aligned with SEC rules, firm policies, and regulatory expectations. Additionally, this role supports Investments by responding to complex and non-routine inquiries and the Compliance Department in supervising the routine and performing the semi complex day to day functions of the department. The Compliance Manager may also lead individuals in day to day and project related activities. The ideal candidate is hands-on, detail-oriented, and able to translate regulatory requirements into practical procedures, testing, training, and documentation.

Key Responsibilities

• Supervises, develops, maintains, and measures investment compliance policies, procedures, and controls.

• Administers annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting and employee attestations.

• Manages critical compliance related ad-hoc and special projects from inception to implementation.

• Monitors regulatory developments and researches industry changes, trends, and best practices to recommend new or revised procedures as necessary.

• Monitors client portfolios for compliance with investment policy and statutory investment limits, works to resolve potential exceptions and administers compliance rules in the monitoring system.

• Reports routine and complex compliance exceptions and materials to the Investments Chief Compliance Officer senior leadership and responds to in-depth questions.

• Prepares management and governance reports for senior Investment leaders and the Adviser's Board of Directors regarding the compliance programs results and potential issues.

• Performs periodic risk assessments, reviews and tests to ensure successful implementation of policies and procedures through surveillance, monitoring, and examinations.

• Guides junior compliance staff in day to day and project related actives.

• This job has potential supervisory duties.
• 7+ years of experience in investment compliance, including policy development, monitoring, regulatory reporting, and risk assessment.

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Skills
Compliance, Compliance Frameworks, Compliance Policies, Compliance Programs

Compensation
Compensation offered for this role is 110,000.00 - 181,025.00 annually and is based on experience and qualifications.

The candidate(s) offered this position will be required to submit to a background investigation.

Allstate provides a comprehensive technology setup, including a laptop, monitors, headset, keyboard, and mouse. Employees eligible to work from home also receive a monthly connectivity reimbursement to help offset internet costs.

When working from home, you must have a dedicated, private workspace free from distractions, along with appropriate desk and seating. Reliable internet is required, with minimum speeds of 50 MB download and 5 MB upload.