What are the responsibilities and job description for the Compliance Officer position at Phaxis?
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!
