Compliance Officer (US Offshore)

Vontobel Asset Management is a specialist investment manager with a multi-boutique approach. Each of our boutiques draws on dedicated investment talent, an established performance culture and robust risk management. We provide leading-edge products and solutions for both institutional and intermediary clients with a strong commitment for delivering performance.

Our boutiques comprise Quality Growth Equities, Sustainable and Thematic Equities, Multi Asset Investing and Fixed Income. We actively manage over $120bn of assets on behalf of our clients worldwide. Vontobel has a strong and established presence in Europe, Asia Pacific and the Americas.

Your opportunity

  • Vontobel Asset Management is searching for a Compliance Officer (based in NYC or in Miami), to undertake and establish policies and procedures associated with the firm’s US offshore/Latam activities, including the offer of foreign funds through U.S. intermediaries under an exemption of the Investment Company Act or based on relevant private placement regimes in Latin America.  This role is part of the US Compliance team currently comprised of the CCO and four Compliance Officers supporting both the US portfolio and regulatory compliance areas. The Director level position will report to the New York based Chief Compliance Officer (CCO). 

  • Define compliance policies and controls for the US offshore/Latam program;
  • Partner with the business to implement and ensure their ongoing effectiveness; 
  • Conduct written and onsite due diligence of business partners and service providers to assess the ability to perform the work and safeguard Company information;
  • Actively participate in the review of CDD of intermediaries for AML/CFT purposes and assist the Compliance Officers of other Vontobel entities with their local regulatory requirements;
  • Liaison with CCO, Sales, Operations, and Legal in the support of various inquiries and exams and keeping them informed regarding the general health of the program; 
  • Review marketing strategy and materials prepared for U.S Offshore/Latam clients for compliance with SEC mandated advertising rules and regulations and provide regulatory guidance on cross border marketing activities;
  • Supervise and arrange for the retention of all records to comply with the requirements of U.S. securities rules and regulations

     

  • Assist the US compliance team with maintaining overall compliance policies, procedures and tools required by regulatory changes and industry best practices.

 

  • Bachelor degree or 10+ years of experience with concentration in US offshore/Latam space with asset management / financial services companies;  
  • Demonstrated ability to build and implement compliance programs;
  • Experience working with U.S. offshore/Latam ;
  • Capabilities to analyze information to formulate business recommendations;
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities;
  • Ability to forge solid relationships and collaborate with business partners, including the ability to convey complex information/knowledge in an understandable and clear manner;
  • Series 7 & Series 24; preferred.
  • Fluent in Spanish and/or Portuguese preferred.

 

Céline Lüssi 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

New York / 1540 Broadway, 37th / 38th Floor