Legal and Compliance Officer “Vontobel Swiss Wealth Advisors”

At Vontobel, we are committed to actively shaping the future. It is up to us to create and actively pursue investment opportunities – determined to help our clients meet their investing goals.

Vontobel Swiss Wealth Advisors AG (VSWA) is a Zurich-based investment adviser registered with the US Securities and Exchange Commission, providing globally diversified Wealth Management solutions to North American investors. We are looking for a motivated and dedicated legal & Compliance Officer (100%) to join the VSWA Legal, Compliance & Tax Team.

Your opportunity

  • Conduct and document internal periodic Compliance controls, testing and monitoring to ensure effectiveness of the firm’s policies and procedures and follow-up
  • Assist in training and advising staff appropriately on compliance matters; interact with employees regarding certification requirements and deadlines; and serve as a resource for employees with compliance and ethics questions
  • Review (formal and substantive) of new relationship openings, with an emphasis on CDB, AML, KYC and documents
  • Deputize the Chief Legal & Compliance Officer during absences
  • Identify regulatory or reputational risks or potential cases of non-compliance and escalate as appropriate
  • Assist in review of marketing and performance advertising materials to ensure consistency with SEC requirements
  • Support the Chief Compliance Officer on periodic updates to the Company’s policies and procedures, SEC Form ADV and other Company manuals and external filings
  • Support regulatory and audit reviews as required and facilitate information requests, meetings, and co-ordinate management responses to examination findings
  • Assist in continuous development and enforcement of the compliance framework and internal control system
  • Other general legal & compliance related tasks

 

You bring / you are

  • University law degree (in a Swiss or Anglo-Saxon jurisdiction) preferred
  • Several years of experience as Compliance Officer or Legal at a Swiss bank or in the wealth management industry
  • Familiarity with the US Investment Advisers Act would be a plus
  • Ability to communicate confidently in German and English (oral and written) is a must, further language skills are an asset (e.g. French)
  • Excellent knowledge of MS Office and IT flair
  • Team player, solution-oriented, positive attitude, good negotiation and communication skills, able to manage own goals and set priorities, well-organized and reliable

Please upload all your documents, including CV, cover letter, reference letters and diplomas.

 

Thank you for the time to consider Vontobel. We appreciate you taking the time to submit your application. Our Talent Acquisition team will carefully assess your application and will respond to you in a timely manner.

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

 

Location

Zürich / Gotthardstrasse 44