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Broker-Dealer Compliance Officer

3 months ago

New York, United States MetLife Full time

Role Value Proposition:

Compliance Risk Management (CRM) delivers a compliance risk framework that enables the businesses and functions to comply with applicable internal and external rules and regulations and maintain risk levels within MetLifes risk appetite. CRM provides constructive challenge to the businesses and functions, partnering closely with them to implement strong processes and effective controls, as well as to foster and embed a culture of compliance. CRM is part of Global Risk Management (GRM).

The Broker Dealer Compliance Officer will be responsible for supporting the broker-dealer compliance program for MetLife Investors Distribution Company (MLIDC), a U.S. registered broker-dealer. The role will also coordinate with the Investments Compliance team regarding broker-dealer issues.

MLIDC engages in the sale and service of products for MetLifes Group Benefits and Retirement and Income Solutions businesses in the U.S., including group variable life, pension products, institutional income annuities, structured settlement annuities, and corporate and bank owned life insurance. Additionally, MLIDC services a closed block of individual retail annuity and retail life business through MetLife Holdings, Inc.

This role will help develop, maintain, and continuously enhance the MLIDC broker-dealer compliance program so that it remains fit for purpose in light of regulatory requirements and expectations and industry standards and best practices. The successful candidate will implement the broker-dealer compliance program, advise on various controls, and monitor activities with a focus on driving efficiency, productivity, and risk-mitigation.

Broker-dealer compliance programs, include but are not limited to, conflicts of interest, electronic communication surveillance, outside business activities, and the OSJ office inspection program. This role must be able to develop and maintain effective relationships, facilitate discussions, and work with MetLifes U.S. businesses to develop and enhance policies, procedures, and controls as needed.

The successful candidate will demonstrate commitment and skill in working on a collaborative team, driving engagement, knowing when to escalate, and fostering trusted strategic partnerships with internal stakeholders.

The Role:

Reporting directly to the VP, Chief Compliance Officer of MLIDC and Head of Investments Core and Broker-Dealer Compliance, the Broker-Dealer Compliance Officer will be responsible for working with the Senior Broker-Dealer Compliance Officer who is responsible for building, overseeing, and performing requirements to support the compliance program for MLIDC, MetLifes insurance broker-dealer. This role will collaborate with associates in MetLife U.S. Business Compliance, MetLife Enterprise Compliance, and MetLife Investments Compliance to maintain and continuously enhance a compliance program that is fit for purpose in light of regulatory expectations, laws, and industry standards. The successful candidate will review existing compliance controls and design enhancements with a focus on driving efficiency, productivity, and risk-mitigation. This candidate will proactively work with all lines of defense to help identify, manage, and report on compliance risk and mitigation. The broker-dealer compliance program includes but is not limited to conflicts of interest, outside business activities, gifts and entertainment, monitoring and testing, and electronic communication surveillance, and compliance with new, and increasingly complex regulations.

This role must be able to develop and maintain effective relationships and facilitate discussions to support the broker-dealer compliance program.

In addition to broker-dealer compliance subject matter expertise, the successful candidate will demonstrate commitment and skill in working across collaborative teams, strong initiative, and fostering trusted strategic partnerships with internal stakeholders. The ability to review and analyze evolving regulatory expectations is critical, as is sound judgment to know when to escalate.

Key Relationships:

Reports to: VP, Chief Compliance Officer, MLIDC and Head of Investments Core and Broker-Dealer Compliance

Key Stakeholders: Leadership across CRM, Group Benefits, RIS, and MetLife Holdings; MetLifes broker-dealers; functional partners in Legal, Audit, IT, Corporate Licensing

Key Responsibilities:

Support implementation of the MLIDC broker-dealer compliance program, including but not limited to including conflicts of interest, outside business activities, gifts and entertainment, monitoring and testing, and electronic communication surveillance.

Support and administer the branch office inspection program.

Support development and maintenance of, and make enhancements as needed to all relevant CRM-owned policies and procedures based on regulatory requirements, industry best practices and established internal controls.

Serve as a trusted advisor to the business while encouraging a culture of robust challenge.

Stay abreast of changes in the regulatory environment and help to analyze the business impact of regulatory changes.

Coordinate with the Investments broker-dealer compliance team to create a collaborative, risk-based, and integrated function.

Issue spot, analyze, scope, and manage the complexity of risks and regulations impacting MLIDC, including engaging directly with regulators; proactive and strategic thinker able to outline risk and make clear recommendations.

Support development and implementation of mandatory and targeted training as needed, including the Annual Compliance Meeting.

Participate in and lead meetings with key business partners to stay informed of new product ideas, business strategies and initiatives, and emerging risks.

Help to design and implement appropriate surveillance and monitoring processes to ensure timely and effective remediation to mitigate compliance risk; provide meaningful compliance reporting and insights to senior management.

Collaborate with peers in CRM to develop/maintain consistent processes and approaches, breaking through silos and encouraging a coordinated enterprise compliance model.

Essential Business Experience and Technical Skills:

Minimum of 3-5 years of experience in a broker-dealer compliance, legal, audit or related leadership role in investment advisory or asset management and/or serving in a business compliance management capacity

General understanding of relevant securities laws, industry practices, and regulations, including FINRA and SEC rules and regulations

Executive communication skills and proven ability to partner effectively internally with senior investments leaders on compliance matters and externally with regulatory authorities as needed.

Organizational intelligence; builds and maintains strong relationships with other functions, including Legal Affairs, Risk Management, IT, and Internal Audit, to create a seamless compliance and ethical control culture to enable the business.

Change management and results-orientated; forward-looking and agile champion of compliance transformation that embraces change, collaborates on best practices, and works methodically to ensure fit-for-purpose compliance coverage.

Practical working knowledge of technology and software relevant to surveillance and reporting, e.g. OpenPages; proficiency in Microsoft Office suite expected.

Bachelors degree expected; JD, MBA, CFA, or equivalent a plus.

Current FINRA Series 7 and 24 qualifications not required but a plus.