Liberty Mutual Insurance · 4 months ago
Associate, Investment Compliance - Liberty Mutual Investments
US-NY-New York
Full-time
Onsite
Mid, Senior Level
$132K/yr - $174K/yr
5+ years expLiberty Mutual Insurance is a leading investment firm with a focus on driving economic growth and generating superior risk-adjusted returns. The Associate, Investment Compliance role involves supporting compliance processes, managing conflicts, and ensuring regulatory adherence within the investment activities of Liberty Mutual Investments.
FinanceFinancial ServicesInsurance
Responsibilities
Support LMI’s policies and processes to mitigate and manage potential conflicts arising from LMI’s public and private investment activity
Monitor LMI deal pipeline, confer with deal teams as appropriate, and ensure appropriate tracking of potential transactions within LMI systems
Research potentially impacted public securities and issuers, as well as deal/company facts to support materiality determinations; validate ongoing review of developments and status
Support review, negotiation and execution of deal-related non-disclosure agreements
Help drive transition to new compliance control room platform; work with colleagues to ensure successful integration with LMI pipeline platform and migration of legacy data
Experience with control room / trading systems and related technology/data a plus (e.g., Aladdin, Dealcloud, MCO, Bloomberg, Pitchbook, CapIQ)
Support regulatory analysis on issues affecting LMI, including securities and insurance regulation matters
Assist with LMI’s monitoring/tracking of applicable regulatory and industry developments; draft related summaries, guidance and proposed policy language as needed
Participate as needed in range of ad hoc and special projects with Compliance team and other LMI colleagues e.g., risk assessments, regulatory reporting, firm and corporate governance, etc
Broad understanding of investment compliance programs (code of ethics, policies, testing, controls, etc.) in order to offer on-site compliance support to NY-based employees
Qualification
Required
Competencies typically acquired through at least a bachelor's degree and 5 or more years of relevant investment, compliance or legal experience
Experience with and solid understanding of various asset classes and investment products
Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors
Desire to expand knowledge of regulatory/legal/compliance topics applicable to the asset management and insurance industries
Strong verbal and written communication skills
Strong ethical character; poise and confidence to interact with wide range of colleagues; collegial team player
Preferred
JD, control room experience, and experience with deal-related non-disclosure agreements a plus
Experience with private credit a plus
Benefits
Flexible Time Off Annual Accrual - days: 20
Company
Liberty Mutual Insurance
Liberty Mutual Insurance provides a broad range of insurance products and services.
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$886.84M2025-09-17Debt Financing· $886.84M
Leadership Team
Julie Haase
EVP and Chief Financial Officer, Liberty Mutual Insurance
Joann Gomez
Division Vice President, Risk Management - West Zone
Recent News
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