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Compliance Officer - Asset Management
Swiss Re
New York, NY
Jun 11, 2026
    Are you passionate about safeguarding financial integrity while enabling business growth? Do you thrive in a dynamic environment where your expertise in financial crime prevention, fraud detection, and investment compliance makes a real difference? Join our global team and help shape the future of compliance in asset management!   About the Role   As a Compliance Officer in our Asset Management & Capital Markets Compliance team, you'll be at the intersection of financial expertise and risk management, helping stakeholders navigate complex compliance landscapes while supporting business objectives. You'll develop specialized knowledge in how Asset Management operates globally while building valuable relationships across our international network.   Key Responsibilities Build relationships  with key stakeholders globally, becoming their trusted compliance partner Provide expert guidance  on compliance matters to internal partners,...
Compliance Officer - Surveillance - VN2849
Marex
New York, NY
Jun 06, 2026
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com Purpose of Role: Marex is recruiting...
Compliance Officer
Sixth Street
New York, NY
Jun 06, 2026
The Role Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm’s marketing and distribution process. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street’s Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures. Core Responsibilities Own the marketing material review and approval process for high volumes of marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance with all applicable regulations, including SEC, FINRA and other relevant guidelines Utilize deep understanding of the SEC...
Featured
Senior Counsel, Investments
FM
Hybrid (Boston, MA)
May 01, 2026
Summary: Reporting to the Assistant General Counsel, Corporate Transactions, this Senior Counsel role supports the Company’s Investments group by providing end-to-end strategic guidance and legal support for a wide range of investment transactions. These transactions include private fund investments, direct investments, managed accounts across asset classes as well as derivatives transactions and pension plan investments.  The Senior Counsel will also play a critical role in supporting the Company’s M&A activity. This position requires a collaborative mindset, with focus on solutions and the ability to build constructive relationships with senior management and across Company stakeholders.  This position will be instrumental in managing risks and maintaining strong legal standards within the growing FM Investments portfolio.   Schedule & Location: This is a full-time office-based position in Boston, MA. Occasional overnight travel to other corporate...
ETF & 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
Salt Lake City, UT
Jun 11, 2026
About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...
Institutional Client Billing - Morgan Stanley Investment Management - Vice President
Morgan Stanley
Boston, MA
Jun 10, 2026
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic.  Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with 45 offices serving clients in 19 countries. MSIM’s professionals worldwide provide outstanding...
Institutional Client Billing - Morgan Stanley Investment Management - Vice President
Morgan Stanley
Boston, MA
Jun 10, 2026
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic.  Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with 45 offices serving clients in 19 countries. MSIM’s professionals worldwide provide outstanding...
Senior Vice President, Compliance Officer
BNY Mellon
Jersey City, NJ
Jun 10, 2026
Senior Compliance Officer  At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary. We’re seeking a future team member for the role of Senior Compliance Officer to join our BNY Pershing Wealth Services team. This role is located in New York City or Jersey City. In this role, you’ll make an impact in the following ways:  Experienced Senior...
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Compliance Officer - Asset Management

Swiss Re
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New York, New York, United States
Jun 11, 2026
Compliance

 

 

Are you passionate about safeguarding financial integrity while enabling business growth? Do you thrive in a dynamic environment where your expertise in financial crime prevention, fraud detection, and investment compliance makes a real difference? Join our global team and help shape the future of compliance in asset management!

 

About the Role

 

As a Compliance Officer in our Asset Management & Capital Markets Compliance team, you'll be at the intersection of financial expertise and risk management, helping stakeholders navigate complex compliance landscapes while supporting business objectives. You'll develop specialized knowledge in how Asset Management operates globally while building valuable relationships across our international network.

 

Key Responsibilities

  • Build relationships with key stakeholders globally, becoming their trusted compliance partner
  • Provide expert guidance on compliance matters to internal partners, helping them achieve business goals while managing risks, with a focus on securities trading (incl. managing, strategy & allocation) and Corporate Development (incl. M&A activities)
  • Design and deliver training on compliance requirements, processes and controls
  • Advising on compliance risks and addressing queries related to Asset Management transactions
  • Perform regulatory reviews across different Compliance Risks
  • Advise on AML/ITC alerts and support Know-Your-Customer due diligence processes with thorough analysis
  • Participate in risk initiatives through dedicated risk squads focused on AM&CM compliance
  • Contribute to knowledge sharing through the AM&CM demystification initiative, helping document and explain complex business areas
  • Conduct risk assessments to evaluate inherent and residual risk exposure across the organization
  • Lead stakeholder discussions to address compliance challenges and implement effective solutions
  • Foster a compliance culture that balances risk management with business enablement

 

About the Team

 

You'll join the Asset Management Compliance team within the wider Asset Management & Capital Markets Compliance function. Reporting to the Head Compliance AM&CM, you'll collaborate with colleagues across Zurich, New York, London, Bratislava and Luxembourg. Our team provides advisory and enabling support across compliance risks for AM&CM and for Swiss Re areas engaged in financial markets activities. We work closely with stakeholders to support their objectives while applying a commercial mindset and ensuring effective compliance risk management. The role offers valuable exposure to the products, markets and strategies relevant to our stakeholder groups.

 

About You

 

You're a detail-oriented professional with a collaborative mindset who thrives in dynamic environments. Your analytical approach helps you navigate complex topics while developing practical solutions. You demonstrate impeccable integrity and judgment when handling sensitive information, and you're able to balance independent work with effective team collaboration. Your adaptability allows you to manage multiple priorities while maintaining high-quality output.

 

We are looking for candidates who meet these requirements:

  • At least 5 years of professional work experience in the financial industry
  • Solid understanding of compliance risks (investment compliance, fraud, money laundering, international trade controls) with enthusiasm to deepen your expertise
  • Strong communication skills with fluent English (additional languages are advantageous)
  • Excellent analytical abilities and skill in interpreting complex information
  • Proficiency in MS Office suite (Outlook, Excel, Word, PowerPoint)

 

These are additional nice to haves:

 

  • University degree (for example, in Law, Financial/Business Services, Asset Management, or other fields)
  • Experience supporting compliance programs focused on investment compliance, fraud prevention, anti-money laundering, or international trade controls

 

 

Our company operates under a hybrid work model, with the expectation that employees work from the office three days per week. Please note that this role is not eligible for visa sponsorship/visa transfers/visa extension or relocation support.

 

 

The estimated base salary range for this position is $128,000 to $192,000.  The specific salary offered for this, or any given role will take into account a number of factors including but not limited to job location, scope of role, qualifications, complexity/specialization/scarcity of talent, experience, education, and employer budget.  At Swiss Re, we take a "total compensation approach" when making compensation decisions. This means that we consider all components of compensation in their totality (such as base pay, short-and long-term incentives, and benefits offered), in setting individual compensation.

 

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. We cover both Property & Casualty and Life & Health. 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 15,000 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.

If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience.

Swiss Re is an equal opportunity employer. It is our practice to recruit, hire and promote without regard to race, religion, color, national origin, sex, disability, age, pregnancy, sexual orientations, marital status, military status, or any other characteristic protected by law. Decisions on employment are solely based on an individual's qualifications for the position being filled.

During the recruitment process, reasonable accommodations for disabilities are available upon request. If contacted for an interview, please inform the Recruiter/HR Professional of the accommodation needed.
 

 

We may use AI-powered tools to support the review and evaluation of applications for this position. These tools provide additional insights to our recruitment teams, but all hiring decisions are carefully reviewed and made by people. To learn more about how we use AI in recruitment and how we handle your personal data, please review our Data Privacy Statement before applying.

 

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Reference Code: 138326 

 

 

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