Head of Compliance

vor 2 Wochen

Zürich, Schweiz Waelti Partners AG Vollzeit

For our client, an innovative, growing company active in the field of asset management with a business location in Zürich, we are seeking immediately or by arrangement an experienced "Head of Compliance (100%)". The job description reads as follows (with minor adjustments from us):

Responsibilities:

  • Operating within the COO area, assume overall responsibility for the client's compliance function, incl. acting as approved and registered compliance officer with FINMA, and fostering a culture of compliance and ethical behavior
  • Providing guidance, support and mentorship in executing compliance initiatives efficiently
  • Provide guidance and support to business units and key stakeholders on any compliance related matters
  • Periodic and ad hoc compliance reporting to the management and the board of directors
  • Oversee the compliance function of affiliates abroad within a matrix set-up
  • Execution of the compliance program tailored to the client's business activities, services and products
  • Monitoring and controls with respect to the adherence to applicable laws, regulatory requirements and internal rules, policies and guidelines
  • Examination of appropriateness and effectiveness of internal rules, policies and guidelines, assessment of the need for additional directives, develop and/or review of respective internal rules, policies and guidelines
  • Ensuring the licensing, notification and publication as an asset manager of collective investment schemes according to the Financial Institutions Act (FinIA; in German: FINIG)
  • Periodic evaluations to ensure conformity with capital adequacy requirements
  • Monitor and assess relevant regulatory developments in Switzerland/EU or further target countries of client directly affecting the client's function as an asset manager of collective investment schemes according to FinIA
  • Ensure cross border compliance with applicable foreign laws and regulations applicable to services rendered by the client in its target countries
  • Conduct regular compliance risk assessments
  • Involvement in and responsibility for annual regulatory audit together with the auditors
  • Act as point of contact for regulatory bodies and authorities and handle all compliance related inquiries, incidents and inspections
  • Responsible for annual compliance trainings

Requirements:

  • Master degree in Law, Finance or Business, that must be combined with an additional degree in Compliance
  • At least five years' Swiss work experience as Head of Compliance gained at a regulated asset manager, ideally with a focus on alternative and/or illiquid investments. Proven know-how of financial markets regulation and respective compliance standards as well as relevant investment structures and applicable laws and regulations. Proven track record of developing and implementing compliance programs
  • Native German and fluent English (at least level C1) are a must, additional languages are a plus
  • Excellent analytical, problem-solving, and decision-making abilities
  • Detail-oriented with a high level or integrity, loyalty and ethical standards
  • Outstanding communication and interpersonal abilities, with the capacity to interact effectively with stakeholders at all levels of the organization and build strong relationships with key stakeholders
  • Ability to work independently and collaboratively in a fast-paced, dynamic environment
  • Pro-active and hands-on approach, eagerness to constantly learn and face new challenges
  • EU/EFTA citizenship and residence within a commutable radius of Zürich

Place of work: Zürich (with possibility of flexible working)

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