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. 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 U.S. investment advisory business. In this role, you will support an investment advisor’s Lead Compliance Officer and contribute to the successful implementation of a robust compliance program. You will apply your regulatory knowledge and organizational skills to ensure that compliance processes are executed efficiently and effectively.

Key responsibilities include:

• Supporting a US investment advisory compliance program
• Monitoring law and regulation, particularly the Investment Advisers Act of 1940
• Performing Code of Ethics tasks
• Training on requirements and procedures
• Testing for compliance with requirements
• Organizing and completing regulatory filings
• Designing and implementing tools and frameworks that enable compliance tracking and oversight.
• Maintaining documentation and audit trails of program activities.
• Supporting the compliance lead on regulatory exams and inquiries as needed
• Ensuring timely execution of compliance tasks and reporting obligations