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• Legal, Compliance


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Senior Compliance Officer with legal tasks

I look forward to receiving your application via e-mail to info@signer-beratungen.ch. If you have any questions, please contact me (Phone: 043 299 56 56).

My client is a small Asset Management boutique with a successful track record and a highly professional team of experts. In the process of further growth we are currently seeking an experienced and hands-on professional as their 

Senior Compliance Officer with legal tasks

The ideal candidate acts as the single point of contact for various stakeholders, e.g. the FINMA, regulatory auditors, custodian banks, brokers, fund service providers and others. Additionally the person is in charge of all legal and compliance related matters within the company. This includes in detail the following duties:

• Heading the internal money laundering department


• Review of all new accounts / proper on-boarding of introducers/external asset managers 


• Monitor and assess international and Swiss AML/KYC/GWG related legal and regulatory developments and industry best practices 


• Maintenance and improvement of internal control system (IKS) 


• Ensure that all policies, laws and guidelines are adhered to (GwG, FIDLEG, FATCA, etc.) 


• Regular transaction-monitoring 


• Regular reporting to the attention of the management and the Board 


• Analyse, review, validate FATCA and VSB documentation for legal entities


• Maintenance of all internal regulations, directives and guidelines (including all contracts) 


• Develop and implement policies and procedures on Compliance


• Acting as corporate secretary 


• Perform legal due diligence on investments that are targets of the company's managed investment vehicle


• Preparation and participation in regular audits 

We are looking for a proactive and versatile self-starter with a high level of discretion and a positive mindset. In detail you should have the following skill set: 

• University degree or equivalent eduction (further education in Compliance a big plus)


• Fluency in German and English mandatory


• At least 5 years' experience in Legal and Compliance of a financial institution 


• Strong interpersonal skills 


• Excellent communication, presentation and negotiation skills


• Efficient and pragmatic working style, proactive, goal-oriented and solution-driven (can-do attitude) 


• Down-to-earth character, self-motivated, persistent and pragmatic 


• Resilient personality who enjoys working in a dynamic, fast-paced and international environment (used to cope with a multicultural crew)

If you are interested to learn more about this challenging and demanding role you should not hesitate to submit your application by mail. 

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