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Years of Experience
Date Last Verified
ProfileDirector-Compliance Duties: Manage a Compliance Operations of 6-10 associates. Manage the review and approval process for employee compliance disclosures including outside business activities, political contributions, private securities transactions, personal securities trading accounts, and any other disclosures required by Compliance. Manage the compilation and timely submission of regulatory reports and filings, including the effective partnering with Law and Global Government Relations. Manage the Compliance oversight program for personal securities trading activity by associated persons of the Broker-Dealer. Manage the communications surveillance program for selected MetLife associates. Manage the sales material review process, including the effective partnering with business marketing associates and Law. Manage the administration of the Broker-Dealer, including the effective partnering with Law. Manage the development, implementation, and maintenance of the U.S. Business Compliance systems through effective partnering with CEC, IT, and Global Procurement partners. Complete all performance management and career development activities for his direct reports. Able to independently manage complex projects from initial stages through final implementation. Prepares reports and communications for senior CEC management. Performs other related duties as assigned or required.
Qualification and Experience
Qualifications: FINRA Series 26 (required within 1 year of hire). Bachelor’s degree required; JD Degree , MBA, or CPA a plus; Financial or Insurance industry professional certifications or designations a plus. 6-10 years relevant business experience, with prior compliance, legal, risk management, or audit experience preferred. Superior knowledge of supervisory and controls processes, Company policy governing business ethics, practices and regulatory requirements. Strong understanding of the regulatory environment surrounding our business activities and operations. Knowledge of Company operations, systems and transactions, or Company financial products and services. Key Competencies: (1) communicates effectively; (2) builds relationships; (3) manages performance effectively; and (4) develops talent. Strong track record of managing people and driving results from others. Excellent problem solving and analytical ability. . Experience interacting with employees at various levels of an organization. Experience in developing, implementing and monitoring adherence to corporate policies, procedures and other guidance documents. High level of proficiency with Microsoft suite of products, including Word, Share Point, PowerPoint and Excel. Demonstrated commitment to expand knowledge and to adapt to new situations and changing environments.