OPEN POSITION

EFG Asset Management Compliance

Officer

Reference L_Compliance Officer_EFGAM Skills and experience
Department EFG Asset Management
Compliance • University degree or qualifications deemed equivalent,
Work time percentage 100% preferably in Law, Compliance, Economics or Finance;
Location Geneva • Relevant previous experience within the risk or
HR contact hrrecruitment@efgbank.com compliance function. A minimum of three to five years'
Date of publication 10.09.2018 experience in banking, ideally in private banking or asset
Deadline of publication 09.10.2018 management;

• Ability to solve problems, deliver solutions and manage
  projects;

To provide guidance to EFGAM teams on compliance • Fluent in English and French a must;
matters related to asset management activities such as • Excellent knowledge of the regulations regarding financial
discretionary management, fund investment management markets, as well as those governing financial products
and fund distribution, product governance and related and the private banking environment;
marketing activities. To conduct regular reviews to ensure • Proficient user of the standard office IT applications.
EFGAMs practices are in line with the relevant laws,
regulations and internal policies. The successful applicant will report directly to EFGAM’s
Head of Compliance. S/He will be able to show initiative
Main responsibilities and be able to work autonomously while enjoying working
and interacting within a team, show high standards and
The below is not an exhaustive list of the tasks and good understanding and technical knowledge of the role
may evolve in the future: of the compliance office within asset management. S/He

• Give guidance and support to EFGAMs various teams on also expected to have very good communication skills to
  compliance related matters, helping to identify and give clear guidance, act as a trusted advisor and influence
  implement high standards in line with the regulatory decisions.
  environment and EFGAMs values and objectives;


• Conduct on a regular basis a gap analysis between the Our company
  regulatory framework, internal policies and business To provide guidance to EFGAM teams on compliance
  practices; matters related to asset management activities such as


• To help define and review internal directives and discretionary management, fund investment management
  procedures relating to the different activities of EFGAM; and fund distribution, product governance and related


• To assist with the performance of thematic reviews and marketing activities. To conduct regular reviews to ensure
  regular spot checks to maintain an oversight, as second EFGAMs practices are in line with the relevant laws,
  line of defense, of the business activities; regulations and internal policies.


• To review, from a compliance perspective, the drafting of
  documents relating to investment services and products, Application
  including all marketing documents for internal and Should you wish to apply for this position,
  external use; please send your complete job application by email to


• Assist in the preparation and delivery of training on hrrecruitment@efgbank.com
  different themes such as personal account dealing and
  market conduct, marketing and product governance, We will only respond to applications with a matching
  crossborder, funds investment management and profile.
  distribution activities, etc..

1 | 14 December 2017