What are the responsibilities and job description for the Compliance Officer, Investment Management position at Swiss Re?
About the Role
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
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.
Salary : $124,000 - $186,000
