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 a strong interest in learning
* Efficient and proactive communication, with the ability to communicate (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
* Manage a quarterly Risk and Oversight Committee meeting with minutes
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
#J-18808-Ljbffr