Senior Compliance Officer

What would your role be?

• Maintenance of the firm’s Compliance and Code of Ethics Manuals, as well as the development and maintenance of compliance operational policies and procedures
• Execution of anti-money laundering and sanctions programs policies and procedures
• Supporting the compliance review of marketing and sales materials and collateral for adherence with SEC marketing rules and regulations
• Administration of Advisers Act Rule 204A-1 Code of Ethics policies and procedures
• Preparation and completion of periodic client compliance reports, certifications, and due diligence questionnaires
• Preparation and coordination of regulatory filings, including Reg D, Form PF, From ADV and related disclosures
• Assist in the development and delivery of compliance trainings
• Daily collaboration with business stakeholders including sales, portfolio management, trading, operations, and finance; providing compliance guidance and advice

What are we looking for?

• Bachelor's degree from an accredited institution required.  
• Compliance experience with a U.S. registered investment adviser or U.S. registered broker dealer.  
• Excellent verbal and written communication skills, and the ability to communicate effectively with all levels of management in various business areas. 
• Ability to work in a team environment and collaborate effectively. 
• An understanding of and experience with the Advisers Act and Investment Company Act of 1940.  Familiarity with ERISA, CFTC and NFA rules and regulations a plus.

Important to know

The salary range for this role is $140,000 - $185,000 in base pay (exclusive of bonus or benefits above and beyond the base pay). Base pay offered will be determined on a case-by-case basis considering your experience, skills, training, and education amongst other things. This role is based out of our New York location.

We are looking for talented people, not just a CV that ticks all the boxes. Even if you do not have absolutely everything we have asked for, if this role sounds like a good fit for you, we encourage you to apply.

Why Vontobel?

At Vontobel, you are building better futures for our clients and society, as well as for yourself. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability.

Our diverse team values unique perspectives, and we hire individuals determined to deliver in a dynamic and changing world. Even if you don’t meet all the criteria, we encourage you to apply if you’re enthusiastic about the role.

Do you want to be Vontobel?