Compliance Officer - Wealth Management

About us

Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.

Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.

What you will do

Compliance Advisory and Case Management

- Provide clear, practical and risk-based compliance advice to Front Office, management, Operations and other functions across the principal compliance domains.
- Perform compliance reviews for account openings, periodic reviews and material changes to client relationships, with particular attention to higher-risk clients and complex structures.
- Prepare documented assessments and recommendations for submission to the Head Compliance, the AML specialist unit or the relevant committee, as applicable.
- Identify and promptly escalate material, unusual, complex or sensitive matters; follow through on agreed actions and maintain a clear audit trail.

Financial Crime Compliance

- Conduct AML/KYC and enhanced due diligence reviews, including reviews of source of wealth, source of funds, beneficial ownership, complex structures, PEP exposure and other higher-risk factors.
- Review transaction-monitoring, sanctions and name-screening alerts and assess relevant information against the client file and expected activity.
- Support the analysis and documentation of potentially suspicious activity and prepare matters for escalation to the AML specialist unit or other competent decision-maker.
- Contribute to the effective operation and improvement of financial-crime controls, procedures, management information and remediation activities.

Regulatory Compliance, Conduct and Business Advisory

- Advise on cross-border compliance, investor protection and suitability, market conduct, conflicts of interest and related client-facing activities.
- Perform or support controls concerning personal account dealing, gifts and entertainment, employee conduct, anti-bribery and corruption, and other assigned compliance topics.
- Provide compliance input on new products, services, client propositions, projects, process changes and system developments within the scope assigned by the Head Compliance.
- Monitor relevant legal and regulatory developments, assess their potential impact, support implementation and maintain assigned regulatory change records.
- Draft and update compliance policies, procedures, guidance, risk assessments and management information, subject to appropriate review and approval.
- Develop and deliver compliance training and awareness activities and respond to follow-up questions from employees.

Monitoring, Assurance and Remediation

- Plan and perform assigned risk-based compliance monitoring activities and thematic reviews, including scoping, testing, documentation and reporting of findings.
- Assess the design and operating effectiveness of relevant first-line controls and provide constructive challenge and practical recommendations.
- Track agreed remediation actions, verify completion where assigned and escalate delays, weaknesses or recurring issues.
- Support internal and external audit requests and regulatory reviews by preparing accurate information and coordinating assigned follow-up actions.

Reporting, Projects and Team Contribution

- Prepare concise and accurate compliance reports, dashboards, committee papers and case summaries for review by the Head Compliance.
- Support the preparation of cases for the Client Acceptance and Review Committee and other relevant governance bodies, without holding independent decision-making authority.
- Lead or contribute to assigned compliance projects and process improvements, including collaboration with IT and data stakeholders on system requirements, testing and reporting.
- Share knowledge and provide subject-matter guidance to colleagues while remaining accountable for the quality and timely completion of assigned work.

The knowledge, qualifications and experience you need

- Relevant university degree in law, business administration, economics or a comparable discipline, or an equivalent professional qualification.
- Typically 5–8 years of relevant compliance experience, preferably in Swiss private banking, wealth management or a comparable regulated financial services environment.
- Sound knowledge of the Swiss legal and regulatory compliance framework, with practical experience in several of the following areas: AML/KYC, sanctions, transaction monitoring, cross-border compliance, suitability and client protection, market conduct, compliance monitoring and regulatory change.
- Experience conducting and documenting risk-based reviews, analysing complex facts, identifying material issues and producing clear recommendations for senior review or committee consideration.
- Strong analytical, organisational and problem-solving skills, with a structured approach and consistent attention to accuracy, evidence and follow-through.
- Ability to work independently within agreed authority, manage competing priorities, exercise sound judgement and escalate matters appropriately.
- Strong communication and stakeholder-management skills, with the ability to explain complex requirements clearly and provide practical challenge in a constructive manner.
- Good affinity for systems, processes, data, controls and reporting; experience supporting system or process change is an advantage.
- Fluent German and English; additional languages are an advantage.

We Recognise Potential, Whoever You Are

Our purpose is to deliver excellent investment performance to clients through active management. We believe diverse perspectives and an inclusive culture help us make better decisions and achieve better outcomes for our clients. That's why inclusion is a strategic priority for us, and we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.

We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs. For more information, please visit our FAQs.