Compliance Officer

A dynamic and leading independent investment firm is looking for a full-time permanent position within the Compliance team.

Compliance Officer

Freienbach/Zurich

Our ideal candidate:

• Minimum 2 years of experience in relevant position at a bank, asset manager or auditor
• Legal degree is an advantage
• Solid background in Office tools
• Able to work independently by taking initiatives and also being a fair team player
• Enjoy working in a small and demanding environment
• Strong organizational skills, multi-tasking capacity and ability to work under pressure
• Highly reliable and accurate, with a keen eye for detail
• Dynamic and flexible, with an strong interest in learning
• Efficient and proactive communication, with the ability to communicate fluently (speaking and writing) in both English and German. Any other language will be valued
• Previous experience from working in an SEC regulated firm, FINMA licensed Asset Manager and / or firm with Canadian Portfolio manager license.
• High level of confidentiality and integrity

Job description:

• Prepare and conduct internal Compliance trainings
• Coordinating work with outside legal and compliance providers
• Prepare annual filings / especially ADV filing for our SEC unit
• Prepare and attend audits from regulators (FINMA, SEC and Canadian regulator)
• Support to establish and control KYC files
• Maintain the company’s policies and agreement templates
• Maintain client database
• Maintain the firm’s ICS and ensure completion of periodical internal controls within deadlines

We offer:

• Young, dynamic and diversified team with 50+ employees between Freienbach, Geneva, Zurich and Lugano
• Diversified tasks in all areas of Compliance
• To be part of a growing successful company
• Multinational working environment
• Trainings on regulatory topics FINMA, SEC, Canada

Start date:

• As soon as possible