Compliance Officer

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** New York, NY $125,000 + BONUSDevelop, 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.**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, dont wait to apply!

Created: 2025-02-27