Compliance Officer

A dynamic and leading independent investment firm is looking for a full-time permanent position within the Compliance team.

Compliance Officer

Freienbach/Zurich

Our ideal candidate:

• Minimum 2 years of experience in relevant position at a bank, asset manager or auditor


• Legal degree is an advantage


• Solid background in Office tools


• Able to work independently by taking initiatives and also being a fair team player


• Enjoy working in a small and demanding environment


• Strong organizational skills, multi-tasking capacity and ability to work under pressure


• Highly reliable and accurate, with a keen eye for detail


• Dynamic and flexible, with an strong interest in learning


• Efficient and proactive communication, with the ability to communicate fluently (speaking and writing) in both English and German. Any other language will be valued


• Previous experience from working in an SEC regulated firm, FINMA licensed Asset Manager and / or firm with Canadian Portfolio manager license.


• High level of confidentiality and integrity

Job description:

• Prepare and conduct internal Compliance trainings


• Coordinating work with outside legal and compliance providers


• Prepare annual filings / especially ADV filing for our SEC unit


• Prepare and attend audits from regulators (FINMA, SEC and Canadian regulator)


• Support to establish and control KYC files


• Maintain the company’s policies and agreement templates


• Maintain client database


• Maintain the firm’s ICS and ensure completion of periodical internal controls within deadlines

We offer:

• Young, dynamic and diversified team with 50+ employees between Freienbach, Geneva, Zurich and Lugano


• Diversified tasks in all areas of Compliance


• To be part of a growing successful company


• Multinational working environment


• Trainings on regulatory topics FINMA, SEC, Canada

Start date:

• As soon as possible