Assurant Chief Compliance Officer, Assurant Investment Management in New York, New York

Assurant’s investment portfolio is managed by its in-house asset management division, Assurant Asset Management (AAM). A new entity, Assurant Investment Management (AIM), was recently formed to leverage internal credit and real estate expertise to begin a third party asset management business. Initially, this will include establishing a real estate platform (serving as an investment manager for real estate funds) as well as establishing a collateralized loan obligation (CLO) platform (managing the underlying collateral for CLO investment vehicles). AIM will become a registered investment advisor (RIA) and is currently looking for a compliance officer to function as the CCO of the AIM RIA.

Primary Responsibilities AIM has worked (and will continue to work) internally with Assurant-wide resources (including the CCO of Assurant) and well as external advisors to develop RIA specific registration and compliance requirements. The CCO role will be responsible for continuing to develop, improve, maintain, implement, and monitor all AIM compliance requirements. In addition, the CCO will serve as the compliance “face” of AIM - interacting, developing relationships, and providing perspective and information to all levels at Assurant including Assurant’s CCO, AIM, outside advisors, and auditors.

Basic Qualifications

  • Bachelor’s Degree required, MBA a plus

  • 10 years of relevant work experience in a compliance / regulatory role with 5 years at a Registered Investment Advisor

  • Limited travel required Other Requirements

  • Strong background in compliance

  • Excellent verbal and written communication skills with the ability to communicate to all levels of the organization and any regulatory bodies on compliance practices

  • Proven project management skills

  • Ability to work in a dynamic and faced paced environment

  • Ability to work in a team but also understand instructions quickly and work independently

  • Organizational skills and flexibility in handling multiple demands and changing priorities

  • Ability to problem solve, provide new ideas and suggestions

  • Excellent follow-up and follow-through skills

  • Self-motivated

  • Experience designing, developing, maintaining, and improving compliance policies and procedures associated with being Registered Investment Advisor

  • Experience implementing these policies and procedures

  • Experience working with real estate and fixed income investment platforms

  • Experience working with Collateralized Loan Obligations (CLOs) and syndicated bank loans

  • Experience working closely with investment professionals at all levels

Job: *Asset Management

Title: Chief Compliance Officer, Assurant Investment Management

Location: NY-New York

Requisition ID: 48657