Head of Investment Compliance Monitoring/Platform
vor 2 Wochen
Within our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all relevant restrictions and support various internal stakeholder on related topics and processes.What would your role be?
Lead a team of experienced Investment Compliance professionals:
- Leading a team of experienced professionals in charge of the daily monitoring of all supervised portfolios
- Leading a team of experienced professionals in charge of the system coding, maintenance, enhancements of our platforms
Investment guidelines monitoring:
- Breach case investigation, classification (active or passive) and impact calculation (profit & loss) as required. Notification, reporting and escalation of breaches to portfolio management, Compliance, and management companies. Case follow-up and periodical reporting to our main stakeholder within the company.
- Funds (LUX UCITS, CH, DE, AT, IT and US regulatory environments).
- Swiss and international institutional discretionary mandates (e.g., BVG/BVV2.
- Discretionary and advisory Private Client mandates (SBVg.)
- Global exposure, concentration, liquidity, counterparty, and collateral limits.
- Further improvements and enhancements of monitoring processes
Investment guidelines parameterization, Investment Compliance platform management:
- Coding, development and maintenance of risk control and investment guideline monitoring systems (Charles River, Avaloq) and processes. Automation and centralization of investment guideline monitoring process, in collaboration with IT-Development.
- Feasibility analysis, definition and sign off of client and internal investment guidelines with process owner and other stakeholder.
- Parametrization and maintenance of client, prospectus, legal and/or regulatory restrictions as applicable by contract, prospectus, or domicile.
- User acceptance phase testing and validation of investment guideline calculation algorithms
- Maintenance and enhancement of guideline monitoring applications (Charles River, Fund Designer).
- Maintenance and enhancement of analysis tools and reporting applications (Tableau, internal Solutions).
- Specification of projects and enhancements to streamline guideline monitoring processes, applications, and tools.
What are we looking for?
- Proficient in monitoring investment guidelines across diverse regulatory environments and implementing coding for mandates and funds in different monitoring systems, alongside familiarity with various risk measurement methodologies.
- Knowledgeable in portfolio management, possessing in-depth knowledge of financial products and instruments, coupled with expertise in maintaining and enhancing investment restriction systems, notably Charles River and Avaloq and monitoring modules.
- General IT affinity and programming skills (e.g., Access, VBA).
- A structured and independent team-player with high quality standards.
- Experience in leading professional monitoring teams
- Fluency in English and German. Knowledge of French or Italian would be an advantage.
What do we offer?
- Friendly, diverse team in an open-office space with dancing walls.
- All the latest technology to help you excel and advance.
- Agile environment in how we think, the way we work and our trust for each other.
- Flat hierarchy with collaboration on all levels.
Your application
Please include an additional 1-page letter outlining your motivation for applying and your experience with the points mentioned in this ad.
At Vontobel, you are building better futures for our clients and society, as well as for yourself. By 2030, we want to be known as one of the leading and most trusted global investment firms. We have 2,300+ engaged professionals, based in over 25 locations globally and headquartered in Zurich.
We are both majority family-owned and publicly listed. Our capacity for long-term focus on topics such as sustainability is underpinned by the security of the family’s 100-year commitment. Driven by an ownership mindset, you can unlock your potential and translate insights into opportunities. We are hiring talented individuals who are determined to deliver in a changing world and who come from a wide variety of backgrounds. Do you want to be Vontobel?
Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.
At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.
We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.
If you have any questions you can contact us through our .
-
Zürich, Zürich, Schweiz Vontobel Holding AG VollzeitJob SummaryWe are seeking a highly skilled and experienced professional to lead our Investment Compliance Monitoring team. As the Head of Investment Compliance Monitoring/Platform, you will be responsible for ensuring the compliance of our discretionary and advisory portfolios with all relevant restrictions and regulations.Key ResponsibilitiesTeam...
-
Head of Investment Compliance Monitoring/Platform
vor 3 Monaten
Zürich, Schweiz Vontobel Beteiligungen AG VollzeitHead of Investment Compliance Monitoring/PlatformZürich / Bleicherweg 21Interested? Apply hereWithin our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all...
-
Head of Investment Compliance Monitoring/Platform
vor 3 Monaten
Zürich, Schweiz Vontobel Holding AG VollzeitWithin our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all relevant restrictions and support various internal stakeholder on related topics and...
-
Investment Compliance Officer
Vor 7 Tagen
Zürich, Zürich, Schweiz State Street VollzeitAbout the RoleWe are seeking a highly motivated and detail-oriented Junior Investment Compliance Analyst to join our team at State Street. As a key member of our Institutional Services function, you will play a critical role in delivering a comprehensive and holistic approach to client relationships.Key ResponsibilitiesSupport the analysis and interpretation...
-
Senior Investment Compliance Consultant
vor 1 Monat
CH-8048 Zürich Profidata AG VollzeitSenior Investment Compliance Consultant Profidata Consulting, Beratung Publiziert: 06.08.2024 PROFIDATA provides innovative software and SaaS solutions for investment and wealth management in the most important financial centers for over three decades. This offering is complemented by a rapidly growing, broad range of services in the areas of...
-
Junior Investment Compliance Specialist
Vor 3 Tagen
Zürich, Zürich, Schweiz State Street VollzeitAbout the RoleWe are seeking a highly motivated and detail-oriented Junior Investment Compliance Specialist to join our team at State Street. As a key member of our Institutional Services function, you will play a critical role in delivering a comprehensive and holistic approach to client relationships.Key ResponsibilitiesSupport the analysis and...
-
Compliance Analyst
Vor 7 Tagen
Zürich, Zürich, Schweiz State Street VollzeitAbout the RoleWe are seeking a highly motivated and detail-oriented Junior Investment Compliance Analyst to join our team at State Street. As a key member of our Institutional Services function, you will play a critical role in delivering a comprehensive and holistic approach to client relationships.Key ResponsibilitiesSupport the analysis and interpretation...
-
Investment Compliance Specialist
vor 4 Monaten
Zürich, Schweiz Skillfinder International VollzeitAfter the completion of the project, your role will extend to handling complex tasks within their investment compliance team. This involves actively participating in compliance projects, maintaining regulatory country rule cards, implementing investment guidelines, managing breach processes, and conducting pre & post-trade checks, as well as regulatory...
-
Investment Compliance Specialist
vor 3 Monaten
Zürich, Schweiz Skillfinder International VollzeitAfter the completion of the project, your role will extend to handling complex tasks within their investment compliance team. This involves actively participating in compliance projects, maintaining regulatory country rule cards, implementing investment guidelines, managing breach processes, and conducting pre & post-trade checks, as well as regulatory...
-
Head of Risk Management and Compliance
Vor 6 Tagen
Zürich, Zürich, Schweiz Helvetica VollzeitAbout the RoleWe are seeking a highly skilled and experienced professional to join our team as a Head of Risk Management and Compliance. As a key member of our organization, you will be responsible for ensuring that our business operations are conducted in a manner that is compliant with all relevant laws and regulations.Key ResponsibilitiesDevelop and...
-
Senior Investment Compliance Consultant
vor 2 Wochen
Zürich, Schweiz Profidata VollzeitYOUR CONTRIBUTIONOur clients are fund companies, banks, insurance companies and asset managers. As a Senior Investment Compliance Consultant, you are the main point of contact for our clients regarding our core product - XENTIS. You play a central role in our project team, focusing on transitioning from a MIG21 environment. Furthermore, you are responsible...
-
Head of Operations
vor 4 Wochen
Zürich, Schweiz LHH VollzeitFor our client, an up and coming player in the Asset Management industry we are looking for the Head of Operations. This is an all rounder role within a small team, where you will manage all the aspects of middle and back office. For this role, our client is open for candidates coming from Operations, Finance (Fund or Corporate) within the asset management...
-
Head of Operations
vor 2 Monaten
Zürich, Schweiz LHH VollzeitFor our client, an up and coming player in the Asset Management industry we are looking for the Head of Operations. This is an all rounder role within a small team, where you will manage all the aspects of middle and back office. For this role, our client is open for candidates coming from Operations, Finance (Fund or Corporate) within the asset management...
-
Senior Investment Compliance Specialist
Vor 6 Tagen
Zürich, Zürich, Schweiz Profidata VollzeitAbout the RoleWe are seeking a highly skilled Senior Investment Compliance Specialist to join our team at Profidata. As a key member of our investment compliance project, you will play a central role in ensuring the smooth transition from a MIG21 environment.Key ResponsibilitiesLead the analysis and implementation of regulatory and contractual investment...
-
Head of Compliance Onboarding
vor 4 Monaten
Zürich, Schweiz EFG International VollzeitLead and manage the Onboarding & Periodic Reviews team (approx. 15+ people) within the legal entity EFG Bank AG, spread over the 3 locations: Zürich, Geneva and Lugano and oversee all KYC/AML processes and procedures to ensure proper risks management and adherence to the internal framework and regulatory requirements. Main Responsibilities Oversight...
-
Zürich, Schweiz TEKsystems VollzeitDescription: Business analysis and requirements management for the development of a content management system for the creation, management and distribution (incl. editing and layout) of investment content and publications of economic research. E2E business analysis incl. workshops with stakeholders, creating specifications, writing and executing test...
-
Head of Operations
vor 4 Wochen
Zürich, ZH, Schweiz LHH Vollzeit**Requirements**: - 8+ years in the middle/back-office management of an Asset Management Firm with Private Equity / Public Market investments and multiple investors - Background in accounting / audit ideally a “big four” audit Firm with strong Excel and data management skills - Fluent English, written and spoken. German and French nice-to-have - Swiss...
-
Head Of Compliance
vor 3 Wochen
Zürich, Schweiz Robert Walters Switzerland VollzeitThis is an exciting opportunity for an entrepreneurial professional, who's looking to make an impact and help shape the compliance department.About the job:Lead and oversee the compliance function, ensuring the bank's adherence to all regulatory requirementsDevelop and implement compliance policies, procedures, and controls to mitigate regulatory risksStay...
-
Business Analyst for Investment Research Platform
vor 5 Stunden
Zürich, Zürich, Schweiz TEKsystems VollzeitJob Summary:We are seeking a highly skilled Business Analyst to join our team at TEKsystems. As a Business Analyst for Investment Research Platform, you will be responsible for business analysis and requirements management for the development of a content management system for the creation, management, and distribution of investment content and publications...
-
Zürich, Zürich, Schweiz EFG International Vollzeit**Job Summary**EFG International is seeking a highly experienced and skilled professional to lead and manage the Onboarding & Periodic Reviews team within the legal entity EFG Bank AG. The successful candidate will oversee all KYC/AML processes and procedures to ensure proper risk management and adherence to the internal framework and regulatory...
