Compliance Manager

vor 3 Wochen

Vaduz, Schweiz LHH Vollzeit

For our client, a rapidly growing financial services firm, headquartered in Vaduz, Lichtenstein, we are looking for a Compliance Manager. This is a mid-level generalist role that will focus on all general compliance aspects, reporting to the Chief Compliance Officer. Due to the rapid growth, there is a massive opportunity for the right person to grow within a short-term and take over more senior responsibilities, including managing junior staff. For this role experience with FMA is highly desired but not a requirement. If you are interested in being part of a rapidly growing team with huge potential for career growth, this is the right role for you.

**Responsibilities**
- The Compliance Manager will assist in Implementing appropriate compliance controls to the business initiatives in line with regulatory standards expected from the Financial Market Authority in Lichtenstein and broader EMEA.
- Assisting team members with reviewing and analysing surveillance alerts and reports relating to the Company, employee, and member trading activity. Properly documenting the review and disposition of the exceptions and escalating matters appropriately.
- Gathering and analysing trade data to assist in the Firm’s response to inquiries received from regulatory bodies. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management clearly and concisely, and interacting with legal and other compliance personnel.
- Responding to inquiries or requests from internal partners (e.g., Assurance, Internal Audit, and Legal).
- Assisting with the design and implementation of new surveillance as well as the refinement of existing ones.

**Requirements**:

- Minimum 3-5 years of experience in Compliance
- Strong working knowledge of international financial services regulations and requirements such as MiFID II, EU MAR, GDPR, AML/KYC and experience with regulators such as FCA, FMA, FINMA or any other regulatory bodies.
- Fluency English and German is required, fluency in French is an advantage
- Advanced computer competency, including Microsoft Outlook/Word/Excel
- Ability to work independently and prioritise multiple tasks
- Good relationship building and communications skills (written and oral)
- Commercial awareness
- Team player
- Effective planning, organisation and time management skills
- Ability to work highly accurately, thoroughly, reliably and with strong attention to detail
- Strong analytical skills

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