Swiss Re
VP, Compliance Officer, Investment Management
Join to apply for the
VP, Compliance Officer, Investment Management
role at
Swiss Re . Overview
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 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
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. About You
You have a law degree and at least 5-7 years' experience as a compliance officer, preferably with at least 3 years' experience with an SEC-registered investment advisory firm. You are a proven leader who is comfortable and effective in management level settings. 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 bring strong judgment, executive presence, and the ability to influence and align stakeholders across the organization. Other Essentials
Must have experience with compliance programs that fall under the Investment Advisers Act of 1940 Possess expert knowledge and proficiency with advisory products and investment structures Strong analytical skills and the ability to assess complex issues Proficient in MS Office products such as Outlook, Excel, Word, Power Point Work Model & Location
Swiss Re 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 located in New York City and is not eligible for full-time telework. Compensation
The estimated base salary range for this position is $124,000 to $186,000. The specific salary offered will consider factors such as location, scope, qualifications, complexity, experience, and employer budget. Swiss Re uses a total compensation approach when making compensation decisions, considering all components of compensation in their totality (base pay, incentives, and benefits). About Swiss Re
Swiss Re is one of the world’s leading providers of reinsurance, insurance and other forms of insurance-based risk transfer. We create new opportunities and solutions for our clients through collaboration among more than 14,000 employees worldwide. We are committed to an inclusive culture with equal opportunities to thrive and develop professionally, regardless of age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, or other characteristics. We support an environment where everyone can bring their authentic selves to work and contribute to sustainability. If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience. Other
Keywords Reference Code:
135241
#J-18808-Ljbffr
Join to apply for the
VP, Compliance Officer, Investment Management
role at
Swiss Re . Overview
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 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
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. About You
You have a law degree and at least 5-7 years' experience as a compliance officer, preferably with at least 3 years' experience with an SEC-registered investment advisory firm. You are a proven leader who is comfortable and effective in management level settings. 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 bring strong judgment, executive presence, and the ability to influence and align stakeholders across the organization. Other Essentials
Must have experience with compliance programs that fall under the Investment Advisers Act of 1940 Possess expert knowledge and proficiency with advisory products and investment structures Strong analytical skills and the ability to assess complex issues Proficient in MS Office products such as Outlook, Excel, Word, Power Point Work Model & Location
Swiss Re 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 located in New York City and is not eligible for full-time telework. Compensation
The estimated base salary range for this position is $124,000 to $186,000. The specific salary offered will consider factors such as location, scope, qualifications, complexity, experience, and employer budget. Swiss Re uses a total compensation approach when making compensation decisions, considering all components of compensation in their totality (base pay, incentives, and benefits). About Swiss Re
Swiss Re is one of the world’s leading providers of reinsurance, insurance and other forms of insurance-based risk transfer. We create new opportunities and solutions for our clients through collaboration among more than 14,000 employees worldwide. We are committed to an inclusive culture with equal opportunities to thrive and develop professionally, regardless of age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, or other characteristics. We support an environment where everyone can bring their authentic selves to work and contribute to sustainability. If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience. Other
Keywords Reference Code:
135241
#J-18808-Ljbffr