Operations / IT
Compliance Officer Asset ManagementAt Vontobel, we are committed to actively shaping our future. We create and pursue investment opportunities that get our clients ahead. As a global financial service provider with Swiss roots, we specialize in wealth management, active asset management and investment solutions that fit.
Within our department Legal & Compliance Asset Management in Zurich we are loooking for a motivated and dedicated Compliance Officer.
- Co-ordination and monitoring of legal, regulatory and compliance requirements regarding marketing and providing AM services and distribution of funds worldwide, including updating written instructions and training for employees
- Performance and documentation of internal compliance checks and procedures/collection and documentation of third party compliance confirmations/due diligence documentation
- Reviewing and assessing and documenting compliance findings regarding AM counterparties, internal processes and other AM (custody, trading, portfolio management) related issues
- Co-ordination of adaptations, updating and implementation of various Vontobel Group and business area policies, including control functions
- Assist sales and PM teams with potential compliance requests/tasks and legal issues and tax- and other client qualifications from a regulatory perspective (MiFID, KAG, FIDLEG)
- Support business units and Client Control regarding client documentation, anti-money laundering procedures and duties
- Other general compliance-related tasks
- Master of law or equivalent, or credentials as experienced compliance specialist in Asset Management
- At least 3 - 5 years of experience as Legal/ Compliance Officer in the Investment Funds or AM Industry
- Language skills: fluent German a must, excellent English, Italian a plus
- Team player, results and solution oriented, self-directed and precise worker
Michèle Müller, Corporate Human Resources, +41 58 283 68 04
Take ownership and bring opportunities to life. Be Vontobel.