Senior Compliance Officer

Vor 6 Tagen

Zürich, Zürich, Schweiz AvelaLaw AG Vollzeit
Dr. iur., LL.M. | Partner bei AvelaLaw AG | Legal, Risk & Compliance | Digitale IKS Lösungen

Aufgabenbereiche

  • Selbständige Leitung von Compliance-Mandaten bei Schweizer Klientinnen wie Verwalterinnen von Kollektivvermögen bzw. kollektiven Kapitalanlagen, Vermögensverwalterinnen (Fonds- und Asset-Management) und anderen Finanzdienstleisterinnen.
  • Selbständige, kompetente und umfassende Betreuung der Klientinnen im Bereich Compliance.
  • Sicherstellen, dass alle Aktivitäten der Klientinnen jederzeit den Anforderungen der Schweizer Finanzmarktregulierung, inkl. FIDLEG und FINIG, und gegebenenfalls europäischen oder internationalen Regelungen entsprechen.
  • AML Kunden- und Transaktionsmonitoring – Implementierung und Überwachung sämtlicher Vorschriften zur Verhinderung von Geldwäsche und Terrorismusfinanzierung.
  • Bearbeitung von Compliance-Fragen im Zusammenhang mit der Vermögensverwaltung oder der Erbringung von damit zusammenhängenden Finanzdienstleistungen.
  • Ausbau und Weiterentwicklung der Marktpräsenz des Unternehmens, wobei eigene Akzente gesetzt werden können und sollen.
  • Laufende Beobachtung der nationalen und internationalen Entwicklungen in Gesetzgebung, Rechtsprechung, Branchenempfehlungen und Best Practices im Bereich Kollektivanlagen- und Finanzmarktregulierung inkl. Selbstregulierung im Fondsbereich, und Ausarbeiten von Vorschlägen für deren Umsetzung, sowohl intern als auch bei den Klientinnen.
  • Leitung oder Unterstützung von fachspezifischen Projekten, sowohl intern als auch bei Klientinnen.

Qualifikationen

  • Juristische oder betriebswirtschaftliche Ausbildung (Universität oder Fachhochschule).
  • Fundierte Kenntnisse im Finanzmarktrecht (GwG, Cross Border, KAG, FIDLEG/FINIG, usw.).
  • 3 bis 5 Jahre relevante Berufserfahrung bei einem Finanzinstitut oder in einem Beratungsunternehmen im Bereich Legal & Compliance auf den Gebieten der (externen) Vermögensverwaltung und/oder der kollektiven Kapitalanlagen, sowie idealerweise mit zusätzlicher Erfahrung im Risk Management/IKS sowie Compliance.
  • Affinität für im Bereich Digitalisierung/AI.
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