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

Employment type
Full-Time

Work arrangement
No