Compliance Manager

Percent of Travel Required
0 - 10%

What is ING?
ING Insurance Americas is a vital part of worldwide ING Group, one of the largest diversified financial services organizations in the world with operations in more that 50 countries and 112,000 employees. We're a leading provider of financial products and services for individuals and businesses, including life insurance, annuities, mutual funds, retirement plans and employee benefits. ING recognizes the critical role our employees play in our success as a company...we understand the link between customer satisfaction and employee satisfaction. As a result, we're building a different work experience for our employees, an experience that appeals to what they value most in a work relationship.

Who is our ideal candidate?
* A four-year college degree is required and a minimum of 7 years experience in the securities industry with a thorough understanding of NASD regulations and the Investment Advisers Act of 1940.

* 5-7 years specific Investment Advisor experience.

* NASD Series 7, 24, and/or 65, 66.

* Strong knowledge of Investment Advisors Act of 1940

* Ability to communicate effectively and to establish working relationships with many different individuals across geographical lines.

* Ability to train others and to transfer knowledge.

* Strong leadership, communication and customer service skills.

* Periodic travel.

What are the job responsibilities?
The IA Compliance manager assumes responsibility for assuring Investment Adviser compliance with the Investment Advisers Act of 1940 and assists the Chief Compliance Officer in developing firm-wide compliance policies and programs to address various IA compliance issues.

* Provide leadership in establishing and maintaining an effective compliance oversight program for the Investment Adviser by continually assessing the effectiveness of the units' compliance programs, policies, procedures and internal controls.

* Continually stay abreast of regulatory and business unit changes, develop anticipatory solutions and ensure effective implementation of new standards and controls.

* Provide ongoing management reporting on the effectiveness of the IA's compliance program.

* Responsible for various aspects of the compliance and supervision program related to the activities of Investment Adviser Representatives, including registration approvals, Form ADV Part I and Part II filings, written supervisory procedures, review of IA Associates activities, personal transaction reporting, compliance training and compliance communications programs.

* Manage the daily activities/operations of the IA Compliance Department in regards to Investment Adviser activities.

* Set and implements policies and standards of conduct for the Investment Advisory Associates to assure conformance with the rules and regulations of the securities industry.

* Direct, monitor and accountable for SEC and State regulatory exams of the Registered Investment Adviser.

* Responds to investment advisor inquiries.

* Works with internal/external legal staff to resolve compliance issues.

* Keep current of regulatory developments as promulgated by the NASD, SEC and various State regulatory agencies.

* Assist the Chief Compliance Officer in preparing IA compliance status reports to management.

* Must be able to interface with all levels of personnel within the Organization on a regular basis.

* Other duties as assigned.

What else can we tell you?
In addition to a competitive salary and bonus plan, we offer:
* Medical and dental coverage for employees, their spouses, children and domestic partners
* Incentive Savings Plan (401K), with a dollar for dollar match for the first 6% of eligible pay, multiple investment options, and immediate eligibility
* Paid Time Off (PTO) bank of days for employees to use for any reason; 20 days in first full year of employment, 23 days beginning in the fifth year of employment
* Pension Plan based on length of service and eligible pay; fully funded by ING. Vested after 5 years.
* Health and dependent care spending accounts available.
* Company-provided life insurance for employees; may purchase additional for self, spouses and children
* Company holidays based on NYSE calendar, jury duty, military leave and community service time.
* And much more!

*CBN, *MTR



No agencies, please.


ING is an equal opportunity/affirmative action employer.


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