Job Description

About the Role

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.

Key responsibilities include :

• 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.

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 at least 5 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.

Other Essentials:

• Must have 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.

The estimated base salary range for this position is $116,000 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.

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