Associate – Investment Compliance

Description

The Company 

Come build on our integrated platform with industry-leading talent, world-class partners, and freedom to innovate.

Liberty Mutual Investments (LMI) is the investment firm for Liberty Mutual Group (Liberty). With deep expertise in fixed income, equity, and alternative strategies, LMI invests more than $100B of long-term capital globally, and has a team of nearly 300 investment, finance, and operations professionals located in Boston, MA, and New York, NY. LMI has a clear purpose: drive economic growth, build enduring businesses side-by-side with our partners, and generate superior risk-adjusted returns that secure Liberty’s promises.

LMI offers the best of both worlds — the look and feel of a boutique investment firm with the reputation and financial strength of a global leader. As the investment firm of a mutual with long-term capital, LMI has a single client mandate. This gives us the freedom to focus on what we do best.

Our portfolio spans a broad spectrum of public and private investments, and we are committed to expanding our capabilities and our toolkit in support of our mission. We invest across diverse asset classes, financial structures, and industries, including real estate, digital infrastructure, healthcare, renewable energy, and technology—with the aim of creating value and powering innovation. We pride ourselves on our extensive network of mutually beneficial partnerships, and we use our substantial influence, capital, and energy to drive towards a better future. #LMI

The Position:

The LMI Compliance team is looking for a compliance attorney/professional to assist with our control room function to support LMI’s scaling private investment activity. This role requires frequent interactions with our investment teams and partners and general understanding of this process - wall-crossing, conflicts checks, company research, non-disclosure agreements, and documentation/monitoring in our systems.

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 Preparation, Training and Experience

Qualifications

• Competencies typically acquired through at least a bachelor’s degree and 5 or more years of relevant investment, compliance or legal experience; JD, control room experience, and experience with deal-related non-disclosure agreements a plus
• Experience with and solid understanding of various asset classes and investment products; experience with private credit a plus   
• 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

About Us

Pay Philosophy: The typical starting salary range for this role is determined by a number of factors including skills, experience, education, certifications and location. The full salary range for this role reflects the competitive labor market value for all employees in these positions across the national market and provides an opportunity to progress as employees grow and develop within the role. Some roles at Liberty Mutual have a corresponding compensation plan which may include commission and/or bonus earnings at rates that vary based on multiple factors set forth in the compensation plan for the role. 

At Liberty Mutual, our goal is to create a workplace where everyone feels valued, supported, and can thrive. We build an environment that welcomes a wide range of perspectives and experiences, with inclusion embedded in every aspect of our culture and reflected in everyday interactions. This comes to life through comprehensive benefits, workplace flexibility, professional development opportunities, and a host of opportunities provided through our Employee Resource Groups. Each employee plays a role in creating our inclusive culture, which supports every individual to do their best work. Together, we cultivate a community where everyone can make a meaningful impact for our business, our customers, and the communities we serve.

We value your hard work, integrity and commitment to make things better, and we put people first by offering you benefits that support your life and well-being. To learn more about our benefit offerings please visit: https://LMI.co/Benefits    Liberty Mutual is an equal opportunity employer. We will not tolerate discrimination on the basis of race, color, national origin, sex, sexual orientation, gender identity, religion, age, disability, veteran's status, pregnancy, genetic information or on any basis prohibited by federal, state or local law.    Fair Chance Notices  

• California 

• Los Angeles Incorporated 

• Los Angeles Unincorporated 

• Philadelphia 

• San Francisco