At Allstate, great things happen when our people work together to protect families and their belongings from life’s uncertainties. And for more than 90 years, our innovative drive has kept us a step ahead of our customers’ evolving needs. From advocating for seat belts, air bags and graduated driving laws, to being an industry leader in pricing sophistication, telematics, and, more recently, device and identity protection.
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, andmeasuresinvestment compliance policies, procedures, and controls.
Administersannual certifications, brokerage account reporting, conflict disclosures,regulatoryreportingand employee attestations.
Manages critical compliance related ad-hoc and special projects frominceptionto implementation.
Monitors regulatory developments andresearchesindustry changes, trends, and best practices to recommend new or revisedproceduresas necessary.
Monitors client portfolios for compliance with investmentpolicy and statutory investment limits, works to resolvepotentialexceptions andadministerscompliance rules in the monitoring system.
Reports routine and complex compliance exceptions and materials tothe Investments Chief ComplianceOfficersenior leadership and responds to in-depth questions.
Prepares management and governance reportsfor senior Investment leaders and the Adviser’s Board of Directorsregardingthe compliance programs resultsandpotentialissues.
Performs periodic risk assessments,reviewsand tests to ensure successful implementation of policies and procedures through surveillance, monitoring, and examinations.
Guidesjunior compliancestaff inday to day and project relatedactives
This job haspotentialsupervisory 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.
Joining our team isn’t just a job — it’s an opportunity. One that takes your skills and pushes them to the next level. One that encourages you to challenge the status quo. One where you can shape the future of protection while supporting causes that mean the most to you. Joining our team means being part of something bigger – a winning team making a meaningful impact.
Allstate generally does not sponsor individuals for employment-based visas for this position.
Effective July 1, 2014, under Indiana House Enrolled Act (HEA) 1242, it is against public policy of the State of Indiana and a discriminatory practice for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component.
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It is the Company’s policy to employ the best qualified individuals available for all jobs. Therefore, any discriminatory action taken on account of an employee’s ancestry, age, color, disability, genetic information, gender, gender identity, gender expression, sexual and reproductive health decision, marital status, medical condition, military or veteran status, national origin, race (include traits historically associated with race, including, but not limited to, hair texture and protective hairstyles), religion (including religious dress), sex, or sexual orientation that adversely affects an employee's terms or conditions of employment is prohibited. This policy applies to all aspects of the employment relationship, including, but not limited to, hiring, training, salary administration, promotion, job assignment, benefits, discipline, and separation of employment.
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.
At Allstate, we're advocates for peace of mind and a good life. And that comes through in everything we do.
From building innovative teams that truly understand our customers' needs, to challenging each other to develop our careers in a meaningful way, and finally to the incredible results we're able to achieve together.
See how we’re creating a better future through innovation, advocacy, and empowering people and communities.
