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Manager, Investment Compliance in New York at QBE

Date Posted: 11/1/2018

Job Snapshot

  • Employee Type:
  • Location:
    New York
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

To manage compliance-related activities across Group Investments (GI), ensuring that an appropriately strong and comprehensive compliance framework is in place, and that all relevant investment parameters, guidelines and processes are appropriately established, monitored, respected and reported as required.

Primary responsibilities

  • Actively review and validate pre-trade overrides and alerts, post-trade warnings & potential breaches in compliance  management systems and monitor other reports.
  • Interpret investments related regulations and code and test the compliance rules in Bloomberg AIM
  • Identify, create and implement strategies to increase employee engagement around compliance programs, including but not limited to, creating customized strategies at every level within the organization and working with the Global team to ensure consistency 
  • Build, maintain, oversee and support compliance programs to reinforce collaboration, learning, and adherence to policy and to avoid state and federal fines and penalties 
  • Increase employee engagement around compliance and drive culture changes across the organization by implementing strategies to identify, assess and increase the compliance culture
  • Develop and deliver robust training programs to support the enforcement of policies and procedures, and ensure the organization understands applicable compliance risk areas
  • Collaborate with key stakeholders internally on creation of training materials and ensure support and understanding of compliance related matters
  • Partner and maintain vendor relationships with suppliers of compliance software that provide monitoring and oversight of compliance training and adherence to policy
  • Develop controls, procedures and system solutions to enhance the effectiveness of the compliance function
  • Build and maintain strong and effective relationships with key internal and external business stakeholders to ensure that service delivery meets expectations
  • Manage budgeted resources by anticipating expenditures, accurately forecasting resource needs/costs and  properly accounting for expenses to meet requirements and achieve fiscal responsibility
  • Contribute to a positive environment by demonstrating cultural expectations and guiding leaders to reward performance and value “can do” people, accountability, diversity and inclusion, flexibility, continuous improvement, collaboration, creativity and fun
  • Adopt QBE values in personal work behaviors, decision-making, contributions and interpersonal interactions; manage own career development by soliciting feedback and valuing other perspectives

Required Qualifications


Bachelor’s Degree or equivalent combination of education and work experience


5 years relevant experience

Background in economic and trade sanctions

Preferred Qualifications


  • 7 years relevant experience
  • Background in investment compliance


  • Current and possible future policies, practices, trends, technology and information affecting his/her business and organization
  • Knowledge of principles and processes for providing customer service
  • Working knowledge of laws and regulations related to area of responsibility
  • Experience in Investment Mandate Compliance
  • Experience in using Bloomberg AIM


  • Leverage relationships with people at different levels within the organization
  • Negotiate skillfully in tough situations with both internal and external groups
  • Communicate information in a clear, well-organized, and professional manner
  • High degree of financial acumen and awareness of financial responsibility
  • Analyze risks, benefits and opportunities to ensure organizational competitiveness and satisfaction of established long-range objectives
  • Expert in learning methodologies and deployment of training programs


  • Influence and collaborate with people at different levels within the organization to accomplish a common goal
  • Develop and use metrics to promote desired results
  • Create and re-engineer processes to gain efficiency and effectiveness
  • Provide vision; think creatively and innovatively
  • Ability to strategize and develop robust program plans

Work environment

Travel frequency

Infrequent (approximately 1-4 trips annually)

Physical demands

General office jobs

Work is generally performed in an office environment in which there is not substantial exposure to adverse environmental conditions. Must have the ability to remain in a stationary position for extended periods of time. Must be able to operate basic office equipment including telephone, headset and computer. Incumbent must be able to lift basic office equipment up to 20 pounds.

Number of Openings:


How to Apply:

To submit your application, click "Apply" and follow the step by step process.

Equal Employment Opportunity:

QBE is an equal opportunity employer and is required to comply with equal employment opportunity legislation in each jurisdiction it operates.


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The companies of QBE North America are committed to equal employment opportunities. All qualified applicants will receive consideration for employment without regard to age, disability, marital or parental status, national origin, citizenship, race, color, religion, sex, sexual orientation, or veteran status. All personal information contained in this application will be kept confidential as required by law.