For our client, a well-known and actively growing asset manager in Zurich, we are looking for a (Senior) Compliance Officer. For this role our client is looking for a mid-senior level candidate with a good understanding of Swiss regulations, preferably for Asset Management. Candidates coming legal, regulatory background are also welcomed to apply. in German and English is a must.
This is an amazing opportunity to join one of the best players in the industry, that offers great development opportunities.
The role will primarily cover the following aspects:
- The successful candidate will be responsible for implementing and contributing to the development and effectiveness of the control program and overseeing its execution
- Monitoring the regulatory developments in Switzerland and creating policies, procedures and monitoring requirements associated with applicable regulatory developments such as FinSA, FIDLEG, and AMLO-FINMA
- Prepare and assist with the creation of Compliance Reports that will be provided to senior staff on a periodic basis
- Creating dedicated Swiss E-learnings on various regulatory topics and monitoring their effectiveness
- Work as part of the Global Compliance Team, ensuring that global policies and procedures are met and followed accordingly
- Maintaining relevant Compliance logs for Switzerland (gifts, trading accounts, outside business activities)
- Prepare regulatory filings for submissions to FINMA
Requirements
- Strong educational background, Law degree is preferred
- Preferably 5+ years’ post qualification experience in the compliance and regulatory field with financial services and particularly in international asset management
- Fluency in German and English
- Good technical skills and a broad range of compliance capabilities across a range of areas
- The successful candidate must have the capability and knowledge to influence and advise senior management
- Must be a team player, able to communicate well within the team and with other teams
- Ability to challenge independently and constructively to achieve our goals
- Ability to communicate effectively, orally and in writing at all levels of the organization
- Capability to work autonomously and tackle issues and ability to know when to escalate accordingly
