5 days ago Be among the first 25 applicants
Get AI-powered advice on this job and more exclusive features.
Our client is an internationally established Swiss asset management company based in Zug. The company has been successful for many years and has been able to achieve a good reputation on the financial market, thanks to its highly committed and qualified Specialists. The company of 28 staff is in an exciting growth phase as it is expanding by opening new offices into new markets. To strenghten the corporate team in the headquarters in Zug, we are looking a highly motivated and experienced
Compliance Officer
In this new created role, reporting to the CFO, you oversee and manage all legal and compliance functions for our hedge fund and firm. This dual-role position is critical to ensuring the firm operates within the boundaries of applicable laws (of various jurisdictions), regulations, and internal policies, while also providing strategic legal counsel to support the firm's growth and operational goals.
The ideal candidate will have a strong understanding of hedge fund regulations (Switzerland and Europe a must, US / Asia nice to have), corporate governance, and financial compliance standards, along with the ability to work in a fast-paced, entrepreneurial environment.
Your Position
Compliance
1.Regulatory Oversight:
* Ensure the hedge fund and the firm complies with all applicable laws, regulations, and guidelines,
including those set by the Swiss (FINMA), European and US (CFTC, NFA, SEC) regulators and other relevant regulatory bodies (like Cayman / CIMA).
•Monitor and implement changes to regulations that may impact the firm's operations.
2.Policies and Procedures:
•Update, extend, and enforce the policy framework, procedures, and best practices for the firm (incl. Cross-border).
3.Reporting and Filings:
•Oversee regulatory reporting requirements, including FINMA reporting, Form ADV, FATCA, and other relevant filings.
•Act as the primary point of contact with regulators during audits, inquiries, or examinations.
4.Training and Awareness:
* Conduct regular compliance training for employees to promote a culture of compliance and ethical behavior.
* Address compliance-related questions and concerns from staff and management.
5.Monitoring and Surveillance:
* Oversee the firm's trade surveillance program to ensure compliance with trading rules and restrictions.
* Manage the firm's Code of Ethics, including monitoring personal trading activities and maintaining required disclosures.
Legal
1. Corporate Governance:
* Provide legal guidance on investor agreements, and company arrangements.
* Draft, review, and negotiate contracts, including broker agreements, service provider agreements.
* Identify and mitigate potential legal risks associated with the firm's operations.
* Advise on disputes, litigation, and enforcement matters, working with external counsel.
3.Investor Relations:
* Ensure compliance with investor-facing disclosures, offering documents, side letters, and marketing materials.
* Address investor inquiries and manage subscription and redemption processes in compliance with fund documents and regulations.
Your Profile:
* Bachelor's degree in Law (LLB or equivalent) and/or Compliance-related field;
advanced legal degrees and certifications are a plus.
* Minimum of 3-8 years of experience in legal/compliance roles within the financial services sector, preferably with hedge funds, investment advisors, or asset managers.
* Strong knowledge of Europeanlaws; Swiss and U.S. securities laws, including the
Investment Advisers Act, Investment Company Act, Dodd-Frank Act, and other relevant regulations are a plus.
* Exceptional written and verbal communication skills in English, with the ability toconvey, good
complex legal and compliance matters clearly to non-legal stakeholders.
* solid knowledge of German language to be the point of contact to Swiss authorities as FINMA
* Strong attention to detail, analytical skills, and ability to handle confidential information with integrity.
* Proactive and solutions-oriented mindset, with the ability to work independently and prioritize tasks in a fast-paced environment.
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Legal
* Industries
Staffing and Recruiting
Referrals increase your chances of interviewing at STAEGER PERSONAL PARTNERS, YOUR RECRUITING COMPANY by 2x
Get notified about new Compliance Officer jobs in Zug, Zug, Switzerland.
Chief Risk & Compliance Officer (80-100%)
Chief Compliance and Risk Officer (CCRO)
Senior Manager / Manager Governance, Risk & Compliance (GRC) Financial Services
Senior Compliance Officer - Private Banking 100% (f/m/d)
Compliance Officer (m/w/d) 50-100% (Ref.Nr.: 44812)
Regulatory and Compliance Officer 80-100% (w/m/d)
Spezialist Compliance Investigations (alle)
(Senior) Compliance Officer 60 - 100 % (w, m, d)
Compliance Officer – Swiss Regulatory & Control Framework (100%)
Compliance & Corporate Responsibility Manager (m/w/d)
Consultant - Financial Crime Compliance - Legal Services (Zurich/Geneva)
Senior Regulatory Compliance & Transaction Reporting Analyst
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr