Compliance Specialist, Investment Management, New York (NY, US)

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 Role

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

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.

About You

You have at least 1 – 3 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. You are eager to learn and grow within a well-supported compliance function. You take the initiative, enjoy structure and process, and have a keen interest in understanding the regulatory environment.

Other Essentials:

• Must have 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.

Our company uses a hybrid work model requiring a minimum of three days in the office each week, with the option to work onsite full-time if preferred. This position is only located in our New York City office and is not eligible for full-time telework.

The estimated base salary range for this position is $92,000 to $138.000. 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.