28 days old

Senior Funds Compliance Associate

Brighthouse Financial
Morristown, NJ 07960
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  • Job Code
Req Id: 2662
Job location: Morristown, NJ, US, 07960

Brighthouse Financial is on a mission to help people achieve financial security. As one of the largest providers of annuities and life insurance in the U.S., we specialize in products designed to help people protect what they've earned and ensure it lasts. We are built on a foundation of experience and knowledge, which allows us to keep our promises and provide the value they deserve.

At Brighthouse Financial, we're fostering a culture where diverse backgrounds and experiences are celebrated, and different ideas are heard and respected. We believe that by creating an inclusive workplace, we're better able to attract and retain our talent, provide valuable solutions that meet the needs of our advisors and their clients, and deliver on our mission of helping more people achieve financial security. We're se eking passionate, high-performing team member to join us. Sound like you? Read on.

How This Role Contributes to Brighthouse Financial:

The Senior Compliance Associate will participate in the day-to-day administration of the Brighthouse Funds and Brighthouse Investment Advisors compliance programs through the maintenance of an inventory of regulations, the oversight of compliance controls, and performance of ongoing monitoring and testing of controls designed to ensure compliance with the relevant regulations. In addition, the associate will be responsible for developing and implementing policies and procedures covering a variety of compliance issues for areas of business applicability.

Key Responsibilities:
  • Prepare for, participate in, analyze, and document Brighthouse Funds sub-advisor and service provider onsite due diligence meetings
  • Participate in construction of required periodic Brighthouse Funds Board reports, including quarterly and annual compliance reports and the Section 15(c) annual subadvisor contract renewal analysis
  • Perform trend analysis on Brighthouse Funds sub-advisory compliance reporting
  • Consult with senior management to define policy or establish compliance standards and best practices for the line of business; building critical relationships with internal clients, and documenting policies and procedures for implementation by the business
  • Communicate compliance initiatives, issues, and objectives, and ensure that Compliance works to simplify requirements, where possible
  • The ability to travel several days per month
  • Perform other related duties as assigned or required

Essential Business Experience and Technical Skills:
  • 5-7 years of experience in investment advisory and/or investment management compliance with hands-on experience with drafting/monitoring/testing compliance policies and procedures
  • Demonstrated knowledge of the Investment Company Act of 1940 and/or Investment Advisers Act of 1940
  • Experience evaluating third-party money managers and/or service providers preferred but not required
  • Microsoft Office applications
  • Excellent written, verbal, organizational, analytical, and presentation skills
  • The ability to work on multiple projects simultaneously
  • The ability to work both independently and collaboratively


Up to 25%

Number of Openings:


Posted: 2020-05-04 Expires: 2020-06-05

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Senior Funds Compliance Associate

Brighthouse Financial
Morristown, NJ 07960

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