About this role
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 initerest 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