Job Description

Currently partnered with an well-established Insurance Firm with an Asset Management arm. Due to growth, they are looking to bring on an Compliance Officer to join the compliance team.

HYBRID- In office 3 days a week

Location: New York, NY

Base: $125,000 + BONUS

Responsibilities:

• Develop, implement and enforce procedures and policies to ensure the regional headquarters’ compliance with applicable laws, regulations and group policies.
• Perform risk assessments to identify areas where the regional headquarters might be vulnerable to non-compliance.
• Ensure compliance of all constituencies (including directors of group companies) in the regional headquarters working in collaboration with human resources, legal and finance groups.
• Ensure compliance and manage approvals for personal trading and gifts and entertainment of headquarter employees.
• Maintain compliance databases for regional headquarters.
• Assume responsibility for regulatory filings of the regional headquarters.
• Review, analyze and monitor policies of group companies for which the regional headquarters has oversight to identify areas where such group companies might be vulnerable to non-compliance.
• Oversee regulatory developments and regulatory regimes applicable to Nippon Life group companies in the Americas.
• and enforce data governance policies to ensure data accuracy, consistency and security across the organization.

Qualifications:

• Bachelors in finance or related.
• 5-6+ years of compliance and risk management experience within the insurance, reinsurance, and/or asset management space.
• Familiarity with antitrust compliance (preferred).
• Experience working in headquarters or regional headquarters overseeing multiple companies is a plus.

If interested, don't wait to apply!

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