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VP, Investment Compliance

The Company:  Aflac Asset Mgt. LLC
The Location: 

New York City, NY, US, 10005

The Division:  Global Investment
Job Id:  1633

About Our Company

Aflac Global Investments located in New York’s financial district, is the organization responsible for the overall investment activities of Aflac, Inc. With more than 100 employees in the US (New York) and Japan (Tokyo), Aflac’s Global Investments organization seeks to maximize Aflac’s risk-adjusted returns, subject to our liability profile and capital requirements, and generates in excess of $3.0 billion a year in net investment income. As of December 31, 2020, Aflac assets were $149.7 billion with revenues totaling $22.3 billion. 

Job Summary

Within Aflac’s Investment’s group, the Vice President, Investment Compliance is a member of the New York Aflac Global Investment Legal and Regulatory group.   The position requires experience in the business and compliance concepts, along with the ability to reason, recommend, and gain compromises that enhance the value of Global Investments Compliance function.  Oversight of the daily monitoring of automated dash board, surveillance, regulations, and data management responsibilities while ensuring adherence to the Investment Compliance guidelines, policies, and procedures.  In addition to the daily responsibilities described below; the candidate will also work on Compliance related projects and help to support communications with colleagues in Columbus, GA (Corporate) and Japan Compliance teams. 


Reports to:  Managing Director, Deputy Head of Legal and Regulatory; Chief Compliance Officer


Vice President, Investment Compliance - Principal Duties & Responsibilities


  • Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934 and their respective regulations and the ability to analyze and identify the application of existing and proposed regulations to registered investment advisers is a must.
  • Proactively identify compliance issues and obtain workable resolution. Make a broad range of decisions, yet communicate and escalate issues as appropriate to the CCO.
  • Partner effectively with investment advisory staff along with internal departments such as Operations, Information Technology, Finance, Human Resources, and Data Management to advance Aflac Global Investments-related projects and business initiatives.
  • Work to limit regulatory and reputational risk of Aflac and help to reinforce Aflac Global Investment’s culture of compliance.
  • Conduct daily review and monitoring of pre-trade and batch portfolio compliance with respect to regulatory and internal rules and restrictions across all portfolios managed by Aflac Global Investments.
  • Oversee maintenance and administration of the automated compliance system, including assignment of system access and appropriate updates and configuration of tolerances and limits.
  • Monitor and recommend appropriate controls to cover non-programmable guideline restrictions on a timely basis
  • Monitor developments and maintain familiarity with Nebraska Insurance Law, NAIC, Japan FSA, and US CFTC developments.
  • Provide research on investment compliance related issues.
  • Provide guidance on permissible investment and transaction-related activities.
  • Develop and provide training and guidance on internal governance, supervisory controls and policies, and recent developments.
  • Prepare management reporting.
  • Work closely with Aflac Japan Operations, Risk and Legal teams to develop and support control functions.
  • Ensure that identified errors, improper conduct, compliance exceptions to regulatory or policy requirements receive appropriate corrective action.
  • Administer and oversee the due diligence program for new and existing external investment managers
  • Perform and document compliance forensic testing of adherence to firm policies and procedures
  • Interface with other Aflac Compliance functions and Investment Risk as appropriate on matters relating to the firm’s investment activities
  • Participate in matters concerning Japan FSA or Nebraska Department of Insurance issues as they relate to the Investment Division


  • 10+ years of experience in Insurance Industry or Asset Management Investments Compliance (Fixed Income a plus)
  • MBA, CFA, Compliance Certifications Preferred


  • Good working knowledge/understanding of Portfolio Management / Investment Operations workflows and processes
  • Good working knowledge/understanding of US and Japan Insurance Industry Regulations as they pertain to investment management
  • Understanding of US, Japan and state securities and derivatives regulations as they pertain to Insurance Industry Investment activity
  • Excellent analytical and research skills; ability to solve problems
  • Ability to interface with all levels of management
  • Ability to work effectively with other individuals and departments
  • Ability to lead and execute multiple projects (short and long term) and tasks accurately and on time;
  • Ability to work under pressure.
  • Ability to solve problems.
  • Excellent written and oral skills; 

Technical Skills:

  • Microsoft Office Suite (Excel, Access, PowerPoint, Word, Outlook)
  • Experience with any pre-trade compliance or portfolio management system (such as Bloomberg, Charles River, Blackrock Aladdin, etc.)


We will consider for employment all qualified applicants, including those with a criminal history, in a manner consistent with the requirements of all applicable federal, state, and local laws, including the Los Angeles Fair Chance Initiative for Hiring Ordinance, the San Francisco Fair Chance Ordinance, and the New York City Fair Chance Act. Applicants with criminal histories are encouraged to apply.

Nearest Major Market: Manhattan
Nearest Secondary Market: New York City