Compliance Monitoring Officer AM 100%
Would you like to be part of the Compliance Department of Vontobel Asset Management and play an active role in further enhancing our regulatory monitoring program and compliance activities?
The Compliance Monitoring Function is responsible for implementing the compliance monitoring for the Asset Management and Management Company, liaising with local stakeholders and the Compliance Team globally, approving conflicts of interest requests, and actively contributing to the development of the compliance activities of the firm.
You will be part of a diverse team with a wide range of knowledge and experience, in Switzerland and overseas, and have the opportunity to bring a positive and hands-on contribution to our activities.
- Conducts compliance monitoring and testing to ensure business operations of VAMAG and VFSAG comply with regulatory and internal requirements
- Reviews, trades and transactions in all portfolios and documents findings
- Assesses the design and operating effectiveness of compliance key controls through post-event reviews
- Ensures that effective and timely corrective action plans are in place to address compliance risk and issues identified
- Reviews and approves requests from relevant employees regarding Personal Account Dealing, Gifts & Entertainment, Outside Business Interests
- Prepares reports with detailed summaries to present to control owners and senior management
- Liaises with control owners/performers to discuss identified issues, root cause, severity level, course of action, due dates and assign disuse and action owner(s)
- Ensures any deficiencies identified in reviews are documented in the appropriate systems
- Assesses results of reviews to identify trends and opportunities for compliance program or control enhancement
- Minimum 5 years experience in a compliance monitoring function
- Familiar with FINMA rules and regulations regarding funds (management and distribution) and portfolio management
- Very good understanding of trading and derivative financial instruments
- Proficient in Bloomberg and Excel
- Fluent in German and English
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.
LocationZürich / Gotthardstrasse 35