Investment Compliance Associate Manager (Hybrid - Chicago, IL)

Senior investment compliance role focused on strengthening Allstate's RIA compliance program, aligning with the Investment Advisers Act and SEC rules, and leading supervision, testing, and governance reporting.

• Develops, maintains, and measures investment compliance policies, procedures, and controls.
• Administers annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting and employee attestations.
• 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, resolves potential exceptions, and administers compliance rules in the monitoring system.
• Reports routine and semi complex compliance exceptions and materials to senior leadership and prepares governance reports.

Primarily non-technical regulatory/compliance focus with emphasis on policy design, testing, documentation, and governance; uses compliance monitoring systems and regulatory frameworks.

The ideal candidate is a senior-level compliance professional with deep knowledge of investment adviser regulations, SEC rules, and RIA program design. They excel translating regulatory requirements into practical procedures, testing, training, and robust documentation, and can lead a small team in a hybrid Chicago environment.