What are the responsibilities and job description for the Compliance Specialist, Investment Management position at Swiss Re?
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
Salary : $92,000 - $138,000
