Senior Compliance Officer Asset Management 100%

Do you want to take part to the international growth of an Asset Management company?
Do you want to leverage on your expertise to have an impact on our organisation?

The Compliance Asset Management & Investments in Zurich offers development opportunities in a successful and diverse environment. We observe high standards of individual behaviour and business conduct and as the second level of control, we work closely with the business to support good compliance practices within the firm.

Your opportunity

  • Disseminate the compliance culture within the firm
  • Identify compliance risks, establish and/or maintain appropriate compliance controls to assess the adequacy and effectiveness of internal controls and compliance with regulatory requirements
  • Perform compliance monitoring regarding their marketing and portfolio management activities
  • Review marketing materials in Europe and internationally, and work with the business to provide input on the regulatory requirements of each jurisdiction vis-à-vis marketing and distribution activities
  • Liaise with internal and external audit and actively contribute to address requests from regulators
  • Ensure adherence to law, rules and internal regulations with emphasis on the following operations
    - AML/KYC
    - Equal treatment of investors
    - Inducements
    - Remuneration
    - Investor complaints
    - Data protection and professional confidentiality
    - Training and education of staff
  • Performing regular and comprehensive compliance risk assessments and testing
  • Co-ordination of adaptations, updating and implementation of the various Vontobel Group policies and procedures, including control functions

 

You bring

  • Master of law or equivalent, or Compliance Officer certificate and compliance experience
  • At least 5 - 7 years of experience as Compliance Officer in the Financial Services/AM Industry in an institutional context
  • Excellent English skills, plus at least one other major European language

Your are

  • Team player, results and solution oriented, self-directed and precise worker
  • A reliable and trusted person

 

Slava Müller is looking forward to receive and review your application.

Please apply via our career portal. For this position, please note that we do not consider applications from recruitment agencies.

If you have any question you can contact us through our contact form.

 

Location

Zürich / Gotthardstrasse 35