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