Compliance Officer – Fixed Term Contract

vor 7 Stunden

Zürich, Schweiz Pouly Tradition Vollzeit

The opportunity: Compliance Officer – Fixed Term Contract 6 months

Robert Walters as a third party vendor is currently hiring on behalf of their client, HSBC Asset Management.

This position based in Zurich, the Compliance Officer will be responsible for ensuring compliance for the representation of foreign funds, investment management and backing up the Swiss listing tasks with respect to the representation of foreign funds. The position requires training and previous working experience in Swiss fund regulation and investment management compliance.

The jobholder will provide compliance advisory and support with respect to investment management and the offering of foreign funds and ensure that the applicable laws, regulations and internal HSBC guidelines are fully met.

What you will do:

  • Be part of the compliance function of the Asset Manager and Swiss representative to ensure that all HSBC Global Asset Management funds registered, listed and offered in Switzerland are fully in compliance with applicable laws and regulation, in particular the guidelines of the Asset Management Association Switzerland.
  • Identify and monitor ongoing obligations with respect to investment management duties ensuring that the correct procedures are in place, and initiate/implement change when required.
  • Ensure that the latest legal fund documents are available for investors at all times; own the sign-off process with client services and/or client operations with respect to marketing material.
  • Foster and develop relationships within HSBC (product governance) and external stakeholders (e.g. FINMA).
  • Provide support with respect to updating existing compliance procedures and policies across the whole compliance range. Draft and implement new compliance policies and procedures adjusted towards the applicable operating model.
  • Record and evaluate employee conflicts of interest, manage internal gifts & benefit register, training registers, and interface for personal account dealing controls.
  • Represent compliance in the business risk and operational control committee and submit compliance reports to the board of directors.
  • Design and provide compliance trainings to staff.
  • Update the entity’s compliance risk assessment, including compliance monitoring scheduler.
  • Conduct compliance monitoring (e.g. spot-checks, regular reviews) on the basis of a compliance risk assessment.
  • Manage customer complaints and escalation.
  • Own the marketing material sign-off process and timely return to business development.
  • Maintain compliance on the publicational websites network as well as its published fund/marketing documentation.
  • Provide ongoing compliance metrics functionally to compliance stakeholders with respect to regulatory compliance and financial crime compliance (e.g. Anti-Bribery & Corruption, risk maps).
  • Escalate and follow up internally any issues exceeding the defined compliance parameters in the internal reporting tools.

You should apply if you have:

  • Experience in auditing or regulatory compliance within the asset management industry, possibly in Switzerland. Candidates with regulatory exposure may be preferred.
  • Excellent attention to detail.
  • Law degree preferred.
  • Ability to learn quickly, prioritize and work independently.
  • Fluent in English and German; French is an added value.
  • Due to immigration restrictions in Switzerland, we will only be able to consider applications from Swiss or EU citizens or from candidates holding a valid Swiss work permit.

Even if you feel you do not meet 100% of our qualifications, we encourage you to apply if you believe this role is right for you.

Are you interested? Do you have experience in auditing or regulatory compliance within the asset management industry? Do you enjoy being part of a cohesive team?

If you answered yes to any of these questions, we want to hear from you

We will not accept any resumes via agencies.

#J-18808-Ljbffr

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