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Senior Compliance Officer

Posted on Mar 16, 2019 by Albert Cliff Ltd

Zürich, Zürich Switzerland
Immediate Start
Annual Salary

Our client, one of the top well-established Asset/Investment Management Firms in Zurich, Switzerland.

The Senior Compliance Officer will be responsible to ensure that the Swiss Management Company, licensed to manage UCITS and AIF funds and to provide ancillary MiFID services, its branches and MiFID entities have a best of breed compliance framework and operate within its specific license and regulatory requirements. The scope of the position extends to several European locations and generates interaction with our offices around the globe. The role will report directly to the registered Compliance Manager of our Super Man Co, which is the key platform for international distribution.

Tasks and Responsibilities:

  • Being part of the EMEA Compliance Team providing advisory support to business departments and Senior Management with specific focus on Switzerland and its European branches
  • Be appointed as the RCSI (registered compliance officer) of our French MIFID entity.
  • Maintaining the compliance framework for the Swiss entity, its branches in Belgium , Italy, Germany, Sweden, Netherlands, Spain and MiFID entity in France
  • Overseeing compliance monitoring activities performed and conducting desk based monitoring to provide assurance of compliance with applicable laws, regulation, best practice and firm standards
  • Develop appropriate management information for Senior Management, Fund Boards, Committees, Working Groups
  • Liaise with legal and internal audit on control issues
  • Being a member of our client's EMEA Regulatory Focus Group and working actively on new regulatory developments across EMEA by monitoring regulation, preparing impact assessments, advising and supporting the business
  • Participating in regulatory implementation projects such as MiFID II, PRIIPS, GDPR, MMFR, etc
  • Working closely with departments in and outside of Switzerland in particular the Conducting Officers, Risk Management, Internal Audit, the EMEA investment controlling group, Fund Accounting, TA, Legal, Sales, Product Management and the International EMEA & APAC Compliance departments
  • Participating in international compliance initiatives
  • Requirements and Expectations:

  • University degree in Economics, Finance or Law
  • 5-8 years experience in a compliance role within the asset management industry preferably gained in Switzerland
  • Excellent knowledge of the Swiss regulatory environment for investment funds & firms as well as relevant European regulation such as UCITS, AIFMD, MiFID II, PRIIPS, MAR, GDPR, AML directives etc
  • Strong analytical and problem solving skills with attention to detail
  • Strong and effective communicator - both verbally and in writing
  • Strong team player
  • Collaborative approach to working with key business stakeholders and the ability to influence and build strong working relationships in a global multicultural environment
  • Very well organized self-starter, working independently and able to prioritize and manage several projects/assignments at a time
  • Fluency in English and French. Any other language would be a considered an asset
  • Proficient in MS Office applications such as Word, Excel, Powerpoin
  • We thrive in a dynamic culture and offer an opportunity for you to maximize your potential and we are committed to offering a competitive compensation package as well as exceptional benefits program.

    Reference: 671566221