Business Compliance Partner

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

Responsibilities

The Business Compliance Partner is responsible to promote IQEQ’s Switzerland Compliance service offering to the market. Manage and execute the operational tasks required by our service offering and the client requests.

The Business Compliance Partner is an important role to further expand the Compliance Service offering of IQEQ in Switzerland. The role requires a deep understanding of the Swiss regulatory framework and experience in the core compliance tasks. The Business Compliance Partner will work closely with the IQEQ clients which use the Compliance Services of our company.

Tasks

The Business Compliance Partner is responsible for the Development and Expansion of Compliance Services offering into the Swiss market, attending client and prospective meetings and calls and further develop the offering based on regulatory changes, developments and client’s requests including:

Compliance Outsourcing:

• Manage the outsourcing of compliance functions for clients, ensuring full compliance with regulatory standards and reducing operational overhead. Outsourcing services can include any core compliance functions such as onboarding reviews, ongoing transaction monitoring support, flow of funds reviews, due diligence support, regular file reviews, investigation support, client assessments, preparation of compliance reports, etc.

Compliance Assessment:

• Benchmark clients' compliance frameworks against regulatory standards and industry best practices, identifying areas for improvement.

Compliance Program Development:

• Design customized compliance frameworks, including policy creation and monitoring mechanisms, to keep organizations aligned with all requirements.

Compliance Training and Education:

• Develop and deliver tailored training programs to provide teams with a deep understanding of regulations through quarterly virtual sessions, monthly updates, and annual in-person training.

Compliance Monitoring and Reporting:

• Continuously monitor compliance activities to identify and address issues proactively, ensuring alignment with guidelines.
• Prepare and submit mandatory annual anti-money laundering, risk, and compliance reports to FINMA and other stakeholders, including the board of directors.

Data Protection Compliance:

• Implement data protection strategies in line with the Swiss Data Protection Law to safeguard client data and ensure regulatory compliance.

International Compliance Consulting:

• Provide support for firms operating across Europe, Asia, the UK, the Crown Dependencies, and the US, guiding them through complex cross-border regulatory landscapes.

Collaboration with Compliance Team:

• Maintain close contact with the Compliance team, assessing the quality of compliance and keeping track of open items.
• Ensure proper follow-up of their advice and/or action points, specific SERR improvements, and GRRC requirements within the team.

Key competencies for the role

• Action oriented
• Client Management
• Client & Business Development,
• Communicates effectively
• Being resilient
• Interpersonal savvy
• Plans and aligns
• Organizational savvy

Key behaviours we expect to see

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the Business Compliance Partner will be expected to demonstrate the following:

• Having a can-do mentality, integrity, transparency, and a risk management mindset.
• Being structured, well organized, proactive in approaching Client Service team and clients, and persistent.
• Planning the first line compliance follow-up tasks needed and assuring execution.
• Being the advocate for first line compliance and our procedures within the team.
• Sharing compliance news, tips, frequently made mistakes and best practices with the team.
• Supporting the guidance of the operational team members in Switzerland in staying first line compliance adopters.

• Holder of a Master’s degree.
• Minimum of 8 years of relevant Compliance experience
• Experience with the Swiss and FINMA related compliance framework
• Experience in offering Compliance Services as managed service is an advantage
• Experience in core compliance tasks such as Due Diligence tasks, AML regulatory framework, Compliance assessment and program development, Compliance training and education.
• Experience in monitoring and reporting, data protection.
• Excellent organisational, prioritisation and interpersonal skills.
• Strong communicator and influencer.
• Fluent in the English and either German or French.

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.