Compliance Manager
The Company
This independent investment firm is headquartered in Switzerland, with an international presence in key financial hubs. The firm specializes in delivering tailored wealth and asset management solutions to private clients, family offices, and institutional investors.
Its investment philosophy combines internal expertise with a network of strategic partners, offering access to a diverse range of strategies across traditional, niche, and sustainable asset classes. The firm often collaborates closely with its partners to align interests and enhance investment outcomes.
Key Responsibilities
- Contribute to the development and implementation of compliance frameworks across wealth and asset management activities.
- Provide guidance on AML/KYC, client onboarding, and regulatory requirements including FINSA/FINIA.
- Monitor transactions and ensure adherence to cross-border regulations and internal controls.
- Support regulatory audits, inspections, and respond to inquiries.
- Conduct due diligence on investment products and assess suitability and risk.
- Deliver internal compliance training and promote awareness across business units.
- Perform best execution reviews and support investment compliance oversight.
- Assist with corporate governance and internal housekeeping processes.
- Collaborate with risk and operations teams to ensure cohesive compliance practices.
Candidate Profile
- 3 + years of experience in a compliance role within the wealth or asset management industry.
- Solid understanding of Swiss regulatory frameworks and cross-border compliance.
- Familiarity with fund structures, onboarding processes, and investment compliance.
- Strong communication skills and the ability to work independently.
- Pragmatic, adaptable, and business-oriented mindset.
- Fluency in English; additional language skills (e.g., German or French) are advantageous.
FAQs
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