Compliance Officer

About the position

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 investment advisory and broker-dealer businesses, using your technical expertise and understanding of regulation to aid in the design and implementation of compliance programs that meet applicable regulatory requirements.

Responsibilities

• Monitoring of law and regulation, particularly the Investment Advisers Act of 1940.
• Assessing compliance risk and impact to financial activities.
• Providing advice and guidance on requirements to internal partners.
• Communicating with stakeholders and reporting on Compliance matters.
• Training on requirements and procedures.
• Supporting regulatory filings and other operational matters.

Requirements

• At least 5 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 and the ability to assess complex issues.
• Proficient in MS Office products such as Outlook, Excel, Word, Power Point.

Nice-to-haves

• High attention to detail and strong organization skills.
• Inquisitive and engaging with superior communications skills.

Benefits

• Total compensation approach considering base pay, short-and long-term incentives, and benefits offered.