Compliance Officer Job at Swiss Re, New York, NY

ZFRhWnFuZytKV3NMRlFHbGNhc1RLeFYwZUE9PQ==
  • Swiss Re
  • New York, NY

Job Description

About the Role

Join a Compliance team that supports Swiss Re's investment advisory and broker-dealer businesses, using your technical expertise and understanding of regulation to aid in the design and implementation of compliance programs that meet applicable regulatory requirements.

Key responsibilities include :

  • Monitoring of law and regulation, particularly the Investment Advisers Act of 1940.
  • Assessing compliance risk and impact to financial activities.
  • Providing advice and guidance on requirements to internal partners.
  • Communicating with stakeholders and reporting on Compliance matters.
  • Training on requirements and procedures.
  • Supporting regulatory filings and other operational matters.

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.

About You

You have at least 5 years' experience as a compliance officer, preferably with an SEC-registered investment advisory firm. You collaborate well in a team environment while also thriving with independent assignments. High attention to detail and strong organization skills set you apart from others and contribute to your success. You are inquisitive and engaging with superior communications skills.

Other Essentials:

  • Must have experience with compliance programs that fall under the Investment Advisers Act of 1940.
  • Strong analytical skills and the ability to assess complex issues.
  • Proficient in MS Office products such as Outlook, Excel, Word, Power Point.

The estimated base salary range for this position is $116,000 to $186,000.  The specific salary offered for this or any given role will take into account a number of factors including but not limited to job location, scope of role, qualifications, complexity/specialization/scarcity of talent, experience, education, and employer budget.  At Swiss Re, we take a "total compensation approach" when making compensation decisions. This means that we consider all components of compensation in their totality (such as base pay, short-and long-term incentives, and benefits offered), in setting individual compensation.

Job Tags

Temporary work,

Similar Jobs

Cleveland Clinic

Accounts Payable Specialist Job at Cleveland Clinic

 ...class health system and strive to provide Best in Class financial services system-wide. The Accounts Payable Specialist position offers ample opportunity for growth in a remote setting. A caregiver in this position works Days, from 8:00am4:30pm. A caregiver who... 

3 Key Consulting

Engineer, Drug Delivery Devices Testing & Analysis (JP13861) Job at 3 Key Consulting

 ...Job Title: Engineer, Drug Delivery Devices Testing & Analysis (JP13861) Location: Thousand Oaks, CA. 91320 (Hybrid) Business Unit: Pre-filled Syringes & Kit Platform Employment Type: Contract Duration: 1+ year with likely extensions and/or conversion to a... 

Accent Title

Title Specialist Job at Accent Title

 ...Established Real Estate Title Company seeks individual, with an aptitude for communicating title issues, skilled in abstract review, with comprehensive knowledge of real estate title insurance commitments and title insurance policies. Qualifications : ~ Ideal applicant... 

Sodexo

Route Relief Driver Job at Sodexo

Route Relief Driver**Location:** INREACH PHOENIX - 92592104**Workdays/shifts** **_:_** Varying shifts, days/hours (open availability...  ...successfully deliver product in the vending, self-checkout, or office coffee service channels. You will use your customer service skills... 

Cooperman Barnabas Medical Ctr

PD Pharmacist - Oncology Job at Cooperman Barnabas Medical Ctr

 ...Job Overview: This is a Clinical Oncology Pharmacist role based within the Pharmacy for Cooperman Barnabas Medical Center, Located in Livingston, NJ, come join one of the best hospitals in New Jersey! Qualifications: Required: Registration in New Jersey as...