Swiss Re-posted 3 months ago
$92,000 - $138,000/Yr
Full-time • Entry Level
Hybrid • New York, NY
Insurance Carriers and Related Activities

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! 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.

  • 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
  • At least 1 - 3 years' experience as a compliance officer, preferably with an SEC-registered investment advisory firm
  • Experience with compliance programs that fall under the Investment Advisers Act of 1940
  • Strong analytical skills
  • Experience or interest in project and process management
  • Proficient in MS Office products such as Outlook, Excel, Word, Power Point
  • High attention to detail and strong organization skills
  • Inquisitive and engaging with superior communications skills
  • Eager to learn and grow within a well-supported compliance function
  • Takes initiative, enjoys structure and process, and has a keen interest in understanding the regulatory environment
  • Hybrid work model requiring a minimum of three days in the office each week
  • Total compensation approach considering base pay, short-and long-term incentives, and benefits offered
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