Compliance Manager

  • Competitive
  • Madison, WI, USA
  • Permanent, Full time
  • State of Wisconsin Investment Board
  • 18 Aug 17

SWIB is seeking a Compliance Manager to lead its Compliance Division. The Compliance Manager is responsible for leading, developing, and implementing the Compliance program at SWIB. This position reports directly to the Chief Legal Counsel and requires knowledge of general compliance topics and investment instruments.

Essential activities:
• Oversee the compliance function and staff
• Serve as the focal point for all compliance activities
• Train and educate staff on the Compliance program and SWIB policies and procedures
• Conduct complex research on regulatory matters that impact SWIB’s investments
• Develop, implement and maintain written policies and procedures related to SWIB’s compliance activities; ensure their currency, relevance and efficacy
• Identify, investigate, respond to, resolve and report all compliance matters
• Identify areas of compliance vulnerability and risk; develop and provide guidance on how to address such risks
• Develop and implement pre-trade and post-trade compliance rules
• Responsible for guideline monitoring and trading surveillance
• Prepare and file of SEC and Federal Reserve regulatory reports
• Support the Chief Legal Counsel in the review, implementation and monitoring of SWIB’s ethics code and to provide visibility to the overall efficacy of the Compliance program

The ideal candidate will have:
• At least 5 years’ experience working in a compliance role in an investment/finance organization
• Bachelor’s Degree in Business, finance, or related required
• JD, MBA, or CFA a plus
• Knowledge of Charles River (CRD) compliance software preferred
• Broad knowledge of securities laws and regulations
• Knowledge of portfolio compliance, trading, and investment operations
• Excellent business acumen and decision making with the ability to make timely and sound judgements
• Excellent verbal and written communication skills
• An ability to be adaptive and thrive in a fast-paced, changing environment
• Superb work ethic, attention to detail, team orientation, and commitment to excellence


SWIB offers:

• Competitive base salary

• Meaningful, performance-based incentive compensation

• A comprehensive benefits package

• Educational and training opportunities

• Tuition reimbursement

• Challenging work in a professional, team environment

The position requires U.S. work authorization and residency in, or willingness to relocate to, the Madison, Wisconsin area. SWIB is prepared to offer relocation assistance as needed.

Deadline to apply is August 20, 2017. Resumes will be accepted after that date if the position has not been filled.