Location: New York, NY, US
Looking to advance your career as a Compliance Officer and join a growing investment management business? This is a fantastic opportunity to join a great company and gain exposure across a variety of financial activities and markets!

ABOUT THE TEAM

Our team provides advice and support to the groups at Swiss Re conducting financial markets activities, including an SEC-registered investment advisor and FINRA broker-dealer. We collaborate with one another and work closely with our business partners in a constructive environment, seeking to empower success while achieving effective compliance risk mitigation. Individual growth and career development is important to us.

Join a Compliance team that supports Swiss Re’s investment advisory and broker-dealer businesses, using your technical expertise, understanding of regulation and a strategic mindset to aid in the design, execution and leadership of a compliance program that meets applicable regulatory requirements.

Key responsibilities include:

• Owning the strategic design and oversight of the compliance program for an SEC-registered investment advisor
• Providing independent and authoritative advice and guidance on requirements to internal partners
• Acting as a trusted advisor on high-level strategic matters
• Reporting to management and other stakeholders on compliance risks, issues, and incidents
• Managing regulatory relationships and leading engagements, including exams and inquiries
• Monitoring global law and regulation impacting the advisor, including the Investment Advisers Act of 1940
• Building strong relationships and representing compliance perspectives in senior-level discussions