Compliance Officer

3 weeks ago

New York, United States Swiss Re Full time

Location: New York, NY, US

** Compliance Officer - US Broker-Dealer**

**About Swiss Re**

Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to cybercrime. Combining experience with creative thinking and cutting-edge expertise, we create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 14,000 employees across the world.

Our success depends on our ability to build an inclusive culture encouraging fresh perspectives and innovative thinking. We embrace a workplace where everyone has equal opportunities to thrive and develop professionally regardless of their age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, physical or mental ability, skillset, thought or other characteristics. In our inclusive and flexible environment everyone can bring their authentic selves to work.

**About the role**

Our team is looking for a motivated and eager Compliance Officer to support Alternative Capital Partners. Our Alternative Capital Partners group combines the resources and capabilities of the Swiss Re Capital Markets ILS team and the Retro & Syndication team into a unified center of expertise that seamlessly offers our clients comprehensive alternative capital solutions tailored to their unique risk hedging and financing needs.

You will have a primary focus as the deputy compliance officer for a US broker-dealer compliance program. The role will be integral to building and maintaining an effective compliance risk control environment that enables Alternative Capital Partners' activities.

Core responsibilities:

* Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a broker-dealer

* Monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations, including Financial Industry Regulatory Authority (FINRA) rules

* Support the assessment and completion of regulatory filings associated with Alternative Capital Partners business activity, including those required by FINRA

* Identify Compliance Risk exposure that might impact Alternative Capital Partners businesses and coordinate accordingly with the relevant Compliance Officers or team

* Perform Compliance Risk assessments and reporting to Senior Management and legal entity governance

* Train employees on Compliance Risk topics and internal processes and controls, including applicable regulation

* Build and maintain cross-functional relationships with other Compliance team members & teams

* Support for the Coordinated Assurance Framework working with Group Internal Audit and Risk Management

**About the Team**

You will report to the Head of Compliance Asset Management & Capital Markets within Compliance Group Frameworks. Our international team of 11 is responsible for providing advisory support to Group Asset Management, Global Finance, Reinsurance and Corporate Solutions. We take pride for being responsible for Compliance Frameworks, group wide Compliance Assurance, Asset Management and Capital Markets, Group Functions Compliance enabling activities and Compliance Digital Solutions and Analytics.

**About You**

* Bachelor's Degree

* Fluent in English

* Minimum 5 years' experience in a compliance officer role, with FINRA broker-dealer compliance experience a plus

* Experience interpreting and applying FINRA rules

* Strong analytical, process management and communication skills with a proven ability to work in cross functional teams and on multidimensional, frequently non-recurring or non-routine tasks

* Ability to apply requirements and provide compliance advice, including in a fast-paced business setting

* Experience with formulating compliance monitoring and control activities

* Aptitude in drafting compliance policies and procedures and carrying out risk assessment

* Good knowledge or awareness of regulatory requirements concerning International Trade Controls and Economic Sanctions, Money Laundering, Fraud, and Bribery and Corruption

* Good understanding of control processes and systems

* Ability to prioritize and work in a highly dynamic and changing matrix environment

* A keen interest in Digitalization a plus

**Keywords:**

**Reference Code:** 109556

**Job Segment:** Compliance, Law, Risk Management, Internal Audit, Legal, Finance

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