Head of Investment Compliance Monitoring/Platform

Vor 4 Tagen

Zürich, Schweiz Vontobel Holding AG Vollzeit

Within our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all relevant restrictions and support various internal stakeholder on related topics and processes.

What would your role be?

Lead a team of experienced Investment Compliance professionals:

  • Leading a team of experienced professionals in charge of the daily monitoring of all supervised portfolios
  • Leading a team of experienced professionals in charge of the system coding, maintenance, enhancements of our platforms

Investment guidelines monitoring:

  • Breach case investigation, classification (active or passive) and impact calculation (profit & loss) as required. Notification, reporting and escalation of breaches to portfolio management, Compliance, and management companies. Case follow-up and periodical reporting to our main stakeholder within the company.
  • Funds (LUX UCITS, CH, DE, AT, IT and US regulatory environments).
  • Swiss and international institutional discretionary mandates (e.g., BVG/BVV2.
  • Discretionary and advisory Private Client mandates (SBVg.)
  • Global exposure, concentration, liquidity, counterparty, and collateral limits.
  • Further improvements and enhancements of monitoring processes

Investment guidelines parameterization, Investment Compliance platform management:

  • Coding, development and maintenance of risk control and investment guideline monitoring systems (Charles River, Avaloq) and processes. Automation and centralization of investment guideline monitoring process, in collaboration with IT-Development.
  • Feasibility analysis, definition and sign off of client and internal investment guidelines with process owner and other stakeholder.
  • Parametrization and maintenance of client, prospectus, legal and/or regulatory restrictions as applicable by contract, prospectus, or domicile.
  • User acceptance phase testing and validation of investment guideline calculation algorithms
  • Maintenance and enhancement of guideline monitoring applications (Charles River, Fund Designer).
  • Maintenance and enhancement of analysis tools and reporting applications (Tableau, internal Solutions).
  • Specification of projects and enhancements to streamline guideline monitoring processes, applications, and tools.

What are we looking for?

  • Proficient in monitoring investment guidelines across diverse regulatory environments and implementing coding for mandates and funds in different monitoring systems, alongside familiarity with various risk measurement methodologies.
  • Knowledgeable in portfolio management, possessing in-depth knowledge of financial products and instruments, coupled with expertise in maintaining and enhancing investment restriction systems, notably Charles River and Avaloq and monitoring modules.
  • General IT affinity and programming skills (e.g., Access, VBA).
  • A structured and independent team-player with high quality standards.
  • Experience in leading professional monitoring teams
  • Fluency in English and German. Knowledge of French or Italian would be an advantage.

What do we offer?

  • Friendly, diverse team in an open-office space with dancing walls.
  • All the latest technology to help you excel and advance.
  • Agile environment in how we think, the way we work and our trust for each other.
  • Flat hierarchy with collaboration on all levels.

Your application

Please include an additional 1-page letter outlining your motivation for applying and your experience with the points mentioned in this ad.

At Vontobel, you are building better futures for our clients and society, as well as for yourself. By 2030, we want to be known as one of the leading and most trusted global investment firms. We have 2,300+ engaged professionals, based in over 25 locations globally and headquartered in Zurich.

We are both majority family-owned and publicly listed. Our capacity for long-term focus on topics such as sustainability is underpinned by the security of the family’s 100-year commitment. Driven by an ownership mindset, you can unlock your potential and translate insights into opportunities. We are hiring talented individuals who are determined to deliver in a changing world and who come from a wide variety of backgrounds. Do you want to be Vontobel?

Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.

At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.

We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.

If you have any questions you can contact us through our .

  • Head of Investment Compliance Monitoring/Platform

    Vor 2 Tagen

    Zürich, Schweiz Vontobel Holding AG Vollzeit

    Head of Investment Compliance Monitoring/Platform Head of Investment Compliance Monitoring/Platform Within our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with...

  • Head of Investment Compliance Monitoring/Platform

    Vor 3 Tagen

    Zürich, Zürich, Schweiz Vontobel Beteiligungen AG Vollzeit

    Head of Investment Compliance Monitoring/PlatformZürich / Bleicherweg 21Interested? Apply hereWithin our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all...

  • Head of Investment Compliance Monitoring/Platform

    Vor 3 Tagen

    Zürich, Schweiz Vontobel Beteiligungen AG Vollzeit

    Head of Investment Compliance Monitoring/PlatformZürich / Bleicherweg 21Interested? Apply hereWithin our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all...

  • Head of Compliance

    vor 2 Wochen

    Zürich, Schweiz Waelti Partners AG Vollzeit

    For our client, an innovative, growing company active in the field of asset management with a business location in Zürich, we are seeking immediately or by arrangement an experienced "Head of Compliance (100%)". The job description reads as follows (with minor adjustments from us):Responsibilities:Operating within the COO area, assume overall responsibility...

  • Head of Compliance

    vor 1 Woche

    Zürich, Zürich, Schweiz Deutsche Bank Vollzeit

    Head of Compliance - Switzerland:Job ID:R0318460Full/Part-Time:Full-timeRegular/Temporary:RegularListed: Location:ZurichPosition Overview:Details of the role and how it fits into the team:As a 2nd Line of Defence (LOD) function, Compliance seeks to protect the licenses of Deutsche Bank ("DB" or the "Bank") to operate by promoting and enforcing adherence with...

  • Head of Compliance

    vor 4 Wochen

    Zürich, Zürich, Schweiz Deutsche Bank (Schweiz) AG Vollzeit

    Head of Compliance – SwitzerlandJob ID:R0318460 Full/Part-Time: Full-timeRegular/Temporary: Regular Listed: Location: ZurichPosition OverviewDetails of the role and how it fits into the teamAs a 2nd Line of Defence (LOD) function, Compliance seeks to protect the licenses of Deutsche Bank ("DB" or the "Bank") to operate by promoting and enforcing adherence...

  • Head of Compliance

    vor 1 Monat

    Zürich, Zürich, Schweiz Deutsche Bank (Schweiz) AG Vollzeit

    Head of Compliance – SwitzerlandJob ID:R0318460 Full/Part-Time: Full-timeRegular/Temporary: Regular Listed: Location: ZurichPosition OverviewDetails of the role and how it fits into the teamAs a 2nd Line of Defence (LOD) function, Compliance seeks to protect the licenses of Deutsche Bank ("DB" or the "Bank") to operate by promoting and enforcing adherence...

  • Head of Compliance

    vor 3 Wochen

    Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of Compliance Sector: Banking Start Date: July/August 2024 Duration: Permanent Utilization: 100% Location: Zurich Salary: CHF 200’000+ Tasks Serving...

  • Head of Compliance

    vor 3 Wochen

    Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of Compliance Sector: Banking Start Date: July/August 2024 Duration: Permanent Utilization: 100% Location: Zurich Salary: CHF 200’000+ Tasks Serving...

  • Head of Compliance

    vor 1 Woche

    Zürich, Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of ComplianceSector: BankingStart Date: July/August 2024Duration: PermanentUtilization: 100%Location: ZurichSalary: CHF 200'000+TasksServing as the...

  • Head of Compliance

    vor 3 Wochen

    Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of ComplianceSector: BankingStart Date: July/August 2024Duration: PermanentUtilization: 100%Location: ZurichSalary: CHF 200’000+ Tasks Serving as the...

  • Head of Investment

    vor 1 Woche

    Zürich, Zürich, Schweiz dentsu Vollzeit

    Company DescriptionWe have an exciting leadership role in Commercial Finance and Investment Management in Switzerland. Join us at dentsu, the largest agency brand and the sixth-largest agency group in the world, and become a part of our international network of more than 71,000 professionals in over 145 countries and regions.Are you passionate about managing...

  • Head of Compliance

    vor 3 Wochen

    Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of ComplianceSector: BankingStart Date: July/August 2024Duration: PermanentUtilization: 100%Location: ZurichSalary: CHF 200’000+TasksServing as the...

  • Head of Compliance

    vor 1 Woche

    Zürich, Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of ComplianceSector: BankingStart Date: July/August 2024Duration: PermanentUtilization: 100%Location: ZurichSalary: CHF 200'000+TasksServing as the...

  • Head of Compliance

    vor 1 Woche

    Zürich, Zürich, Schweiz Alpinum Solutions AG Vollzeit

    Alpinum Solutions is a leading managed legal service provider in Switzerland, Liechtenstein, and Germany. For our latest mandate, we are seeking an exceptional talent in the following field: Position: Head of ComplianceSector: BankingStart Date: July/August 2024Duration: PermanentUtilization: 100%Location: ZurichSalary: CHF 200'000+TasksServing as the...

  • Senior Investment Compliance Consultant

    vor 24 Stunden

    Zürich, Zürich, Schweiz Profidata AG Vollzeit

    Senior Investment Compliance ConsultantProfidata Consulting, BeratungPROFIDATA provides innovative software and SaaS solutions for investment and wealth management in the most important financial centers for over three decades. This offering is complemented by a rapidly growing, broad range of services in the areas of consulting, implementation, training and...

  • Investment Compliance Analyst

    vor 4 Wochen

    Zürich, Zürich, Schweiz State Street Vollzeit

    Major responsibilities: Analysis and interpretation of fund contracts and investment guidelinesImplementation of new products, fund regulations &investment guidelines within the investment compliance applicationLead/help within the internal project for change to new strategical solution.Amendments of existing regulations and guidelinesSupport of the...

  • Investment Compliance Analyst

    vor 2 Monaten

    Zürich, Zürich, Schweiz State Street Vollzeit

    Major responsibilities: Analysis and interpretation of fund contracts and investment guidelinesImplementation of new products, fund regulations &investment guidelines within the investment compliance applicationLead/help within the internal project for change to new strategical solution.Amendments of existing regulations and guidelinesSupport of the...

  • Senior Investment Compliance Consultant

    vor 20 Stunden

    CH-8048 Zürich Profidata AG Vollzeit

    Senior Investment Compliance Consultant Profidata Consulting, Beratung PROFIDATA provides innovative software and SaaS solutions for investment and wealth management in the most important financial centers for over three decades. This offering is complemented by a rapidly growing, broad range of services in the areas of consulting, implementation,...

  • Team Head Compliance Coverage Switzerland

    vor 1 Monat

    Zürich, Schweiz Fintechnews Vollzeit

    Description Leonteq is a leading player in the financial industry, renowned for their innovative approaches, commitment to excellence and entrepreneurial spirit; The organizational values people together, passion, dedication, quality and expertise are their guiding NorthStar's. Responsibilities Heading Leonteq Securities AG's Swiss Compliance Coverage...