Senior Compliance

Job Description

Join an established international asset management organisation in Geneva as a Senior Risk & Compliance Officer, overseeing compliance, operational risk and governance matters for its Swiss asset management activities.

Responsibilities

• Provide compliance advisory support to the Swiss asset management entities and business teams.

• Ensure compliance with the Swiss regulatory framework, including FinSA, FinIA, CISA, AMLA, relevant ordinances and FINMA requirements.

• Oversee cross-border activities, distribution rules and sales practices.

• Maintain, review and enhance compliance policies, procedures and internal guidelines.

• Monitor regulatory developments and assess their impact on the business.

• Develop, implement and perform second-line compliance and operational risk controls.

• Conduct operational risk assessments and maintain risk mapping, following up on remediation actions where required.

• Oversee outsourced activities and perform second-level controls on compliance and risk activities delegated to other group entities.

• Support KYC and onboarding processes, including second-level reviews, periodic reviews and client/counterparty due diligence.

• Prepare compliance and operational risk reporting for senior management and Boards.

• Act as a key point of contact for FINMA, external auditors and other relevant stakeholders on compliance and operational risk matters.

• Escalate material compliance issues, operational incidents and risk matters to local and Group management.

• Contribute to the organisation and delivery of compliance and risk training for Front Office, Middle Office, Sales and control functions.

• Provide support to broader Group compliance and permanent control activities when required.

• Contribute to the oversight of risk and compliance activities across selected international entities.

• Support corporate governance and company secretarial activities, including preparation and follow-up of Swiss Board meetings and related documentation.

Requirements

• 8+ years of professional experience in Risk & Compliance, ideally within a Swiss asset management company, investment manager or financial institution.

• Strong practical knowledge of the Swiss regulatory framework, including FINMA regulations, FinSA, FinIA, CISA and AMLA.

• Proven experience in asset management compliance, including investor protection, product governance, AML/KYC, sanctions and cross-border activities.

• Solid understanding of compliance monitoring, second-line controls and operational risk frameworks.

• Previous experience dealing with FINMA, auditors and senior management is highly valued.

• Familiarity with European regulatory frameworks such as UCITS, AIFMD and MiFID II is an advantage.

• Strong analytical mindset with the ability to translate regulatory requirements into practical and effective processes.

• Excellent communication and interpersonal skills, with the ability to interact confidently with senior stakeholders and business teams.

• Pragmatic, proactive and solution-oriented approach.

• Strong organisational skills and attention to detail.

• Ability to work independently while collaborating effectively with international teams.

• Fluent English and French is essential.