Compliance Officer, Investment Management

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 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.

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

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 $124,000 to $186,000. 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.