Compliance Officer

Vor 3 Tagen

Zurich Freienbach Switzerland Alpen Partners Vollzeit CHF 80'000 - CHF 120'000 pro Jahr

A dynamic and leading independent investment firm is looking for a full-time permanent position within the Compliance team.

Compliance Officer

Freienbach SZ, Zurich

Our ideal candidate:

  • Minimum 2 years of experience in relevant position at a bank, asset manager or auditor
  • Legal degree is an advantage
  • Solid background in Office tools
  • Able to work independently by taking initiatives and also being a fair team player
  • Enjoy working in a small and demanding environment
  • Strong organizational skills, multi-tasking capacity and ability to work under pressure
  • Highly reliable and accurate, with a keen eye for detail
  • Dynamic and flexible, with an strong initerest in learning
  • Efficient and proactive communication, with the ability to communicate fluently (speaking and writing) in both English and German. Any other language will be valued
  • Previous experience from working in an SEC regulated firm, FINMA licensed Asset Manager and / or firm with Canadian Portfolio manager license.
  • High level of confidentiality and integrity

Job description:

  • Prepare and conduct internal Compliance trainings
  • Coordinating work with outside legal and compliance providers
  • Prepare annual filings / especially ADV filing for our SEC unit
  • Prepare and attend audits from regulators (FINMA, SEC and Canadian regulator)
  • Support to establish and control KYC files
  • Maintain the company's policies and agreement templates
  • Maintain client master list
  • Maintain the firm's ICS and ensure completion of periodical internal controls
  • Check personal account dealings on a regular basis and file them accordingly

We offer:

  • Young, dynamic and diversified team with 50+ employees between Freienbach, Geneva, Zurich and Lugano
  • Diversified tasks in all areas of Compliance
  • To be part of a growing successful company
  • Multinational working environment
  • Trainings on regulatory topics FINMA, SEC, Canada
  • Possibility to work several days a week in a centrally located office in Zurich.

Start date:

  • As soon as possible

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