Senior Compliance Officer
Senior Compliance Officer - Asset Management
The Compliance Officer Asset Management («COAM») is responsible for the Compliance Enabling activities in respect of the Asset Management («AM») business and for overseeing, identifying and driving AM's compliance with Compliance related policies including compliance with applicable laws and regulations in respect of Compliance Risk.
The opportunity
Swiss Re is committed to operating its business in compliance with all applicable legal and regulatory requirements, the highest professional and ethical standards, and its stated corporate values. The Compliance function is principally responsible for overseeing Swiss Re's compliance with applicable laws, regulations, rules and the Code of Conduct, and management of Compliance Risk. Compliance Enabling activities include Compliance Advisory, Compliance Policies, Training and Code of Conduct, and Compliance Operations.
- Develop, maintain, communicate and make available Compliance related policies and guidelines for the Group, AM and the relevant parts of the Code of Conduct
- Work with AM management in their management of Compliance Risk and assist AM with identifying, mitigating and managing Compliance Risks
- Consult AM on implementing a strong compliance control environment including the definition of best practice for Compliance Risk in the asset management industry
- Responsible for advising the AM Executive Team («AM ET») in their first line of defence role in order to define the compliance framework for AM in relation to Compliance Risk; design and implement effective compliance risk mitigation strategies, policies and processes, appropriate communications and constructive challenge. Provide Compliance reporting to the AM ET highlighting key Compliance risks and issues
- Coordinate with other departments to monitor new or existing laws and regulations for Compliance Risk impacting AM activity, including impact assessments and the communication of applicable requirements. Analyse the potential impact of regulatory trends on the AM compliance requirements
- In conjunction with Legal, AM and the relevant Business Units, oversee Swiss Re's compliance with regulatory licensing and registration matters in relation to AM activity and associated requirements for operating legal entities in relevant jurisdictions
- Compliance oversight of the process of applicable external regulatory reporting to review timely external reporting to regulators
- Provide appropriate Operational Compliance support
- Act as the legal entity Compliance Officer and the key contact for regulatory enquiries with regard to the Asset Management legal entities
- Define and deliver a risk based communication and training plan to inform AM employees of new or changes to regulatory requirements and/or policies and guidelines and to remind employees of their responsibilities
- Close interaction with the AM Mandate Control Officer for Operational Compliance and with the Legal function both at Group and local legal entity level
About you
University or equivalent qualification with a minimum of 8 years compliance advisory experience in an Asset Management environment is expected. Knowledge of regulatory issues relating to cross border asset management activity including managing, dealing, advising and arranging is a requisite. With strong communication skills you can demonstrate your competency in assessing compliance requirements in support of business activities and needs. An ability to establish compliance priorities and efficient cross functional processes is a strength. Understanding of securities and derivatives products and knowledge of insurance company regulatory investment restrictions preferred. You have strong organisational skills and time management, are a team player and experienced working in a diverse multinational environment. Please note this role could be based in either Zürich or London.
About us
This is your opportunity to join Swiss Re Group - one of the world's leading wholesale providers of reinsurance, insurance and other innovative forms of insurance-based risk transfer. Our business at Swiss Re is about understanding and analysing the major risks that concern the world - from natural catastrophes to climate change, from ageing populations to cybercrime. We combine experience with expertise and innovative thinking to create new opportunities and solutions for our clients. And we enable the risk-taking essential to enterprise and progress. This is only possible with around 10,000 truly exceptional Swiss Re people across our group worldwide.
Take a risk worth taking. Register and apply at www.swissre.com/careers
Reference code: EXT2-NB50657660
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