Compliance Officer

Found in: Talent UK C2 - 2 weeks ago

London, United Kingdom Swiss Re Full time

About Swiss Re

Swiss Re is one of the world’s 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. 

At Swiss Re we combine experience with creative thinking and cutting-edge expertise to create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 13,000 employees across the world. 

We offer a flexible working environment where curious and adaptable people thrive. Are you interested in joining us? 

About the role


Swiss Re maintains a global investment management platform and we're looking for a motivated and eager individual to join our Compliance team and support this expanding business. The role involves supporting the compliance programs for our global network of investment advisory and broker-dealer entities where you will primarily focus on US and European regulatory matters and the design and implementation of our regulated entity compliance programmes. This is a fantastic opportunity to join a great company and gain exposure across a variety of investment management activities and markets.


Core responsibilities: 

• Provide guidance and technical expertise on compliance matters including as it relates to the design, implementation and oversight of compliance programmes
• Monitor regulatory developments for potential impact to business activities, notably the US Investment Advisers Act of 1940 and UCITS regulations
• Perform compliance risk assessments to review inherent and residual compliance risk exposure;
• Prepare and make reports to senior management and legal entity governance on compliance matters
• Train employees on compliance requirements and internal processes and controls
• Support the assessment and completion of regulatory filings
• Facilitate the understanding and cohesion of compliance activities across investment management and broker-dealer compliance programmes

About the Team 

You will report to the Head Compliance Finance within our Asset Management & Capital Markets Compliance team. Our international team of 13 is responsible for providing advisory and enabling support to the areas of Swiss Re conducting financial markets activities. We primarily operate from New York, London and Zurich.

About You

We are looking for an open-minded, detail oriented and enthusiastic team player who can constructively and respectfully engage in challenging conversations. To be successful, you need to have strong communication and analytical skills. Are you at ease with leaving the comfort zone and performing under pressure with: 

• Minimum 5 years' experience in a compliance officer role, with investment management compliance experience strongly preferred
• Knowledge of the financial markets, notably the investment management industry
• Experience interpreting and applying laws and regulations, with a background in UCITS and/or SEC regulation a plus
• Experience with providing compliance advice and formulating compliance monitoring and testing activities
• Good understanding of control processes and systems and aptitude in drafting compliance policies and procedures

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, including gender identity or expression, sexual orientation, age, marital status, veteran status, or disability status. 

About Swiss Re

Swiss Re is one of the world’s 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 and their passion for sustainability.

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Reference Code:  128734

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