Compliance Officer Job at Phaxis, New York, NY

eWF2MVlNc0R5Q3F1ZUwvMEZjcW5wdHg2V2c9PQ==
  • Phaxis
  • New York, NY

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!

Job Tags

3 days per week,

Similar Jobs

Vio | An IPG Health Company

Associate Director, Medical Strategy Job at Vio | An IPG Health Company

 ...understanding of the science with the ability to translate complex data into clear, audience-tailored content. Strategic and creative vision , with experience managing client relationships and leading workshops to meet brand objectives. Excellent leadership and... 

Client of Cezanne Recruiting

Technical Writer Job at Client of Cezanne Recruiting

 ...KEY RESPONSIBILITES: Writer - outline, organize, and write textual content in book form. Researcher work with client technical information and become familiar with client-related content. Communicator build relationships with client instructors, students... 

Ross & Yerger Insurance, Inc.

Commercial Lines Client Representative Job at Ross & Yerger Insurance, Inc.

 ...s. Prepare and secure premium finance agreements and surplus lines non-admitted forms, as well as mod master. Obtain P&C license...  ...School Diploma or equivalent and at least two years of full-time work experience, or at least a two year college degree. Basic... 

State Farm

State Farm Agent - Assigned Book of Business Job at State Farm

 ...Be your own boss. As a State Farm independent contractor agent, you can make a difference in peoples lives and help strengthen your community every day. If youre ready to help, youre ready to be a State Farm agent. The State Farm agent opportunity is one of the... 

Beacon Hill

Litigation Associate Attorney - Government Entity Group Job at Beacon Hill

 ...will have 3-5+ years of litigation experience, with exposure to government representation and/or employment law. This is a great fit for...  ...including, but not limited to, medical, dental, vision, and federal and state leave programs as required by applicable agency regulations...