For our client, an innovative, growing company active in the field of asset management with a business location in Zürich, we are seeking immediately or by arrangement an experienced “Head of Compliance (100%)”. The job description reads as follows (with minor adjustments from us):

Responsibilities:

• Operating within the COO area, assume overall responsibility for the client’s compliance function, incl. acting as approved and registered compliance officer with FINMA, and fostering a culture of compliance and ethical behavior
• Providing guidance, support and mentorship in executing compliance initiatives efficiently
• Provide guidance and support to business units and key stakeholders on any compliance related matters
• Periodic and ad hoc compliance reporting to the management and the board of directors
• Co-operate with compliance functions of affiliates abroad within a matrix set-up
• Execution of the compliance program tailored to the client’s business activities, services and products
• Monitoring and controls with respect to the adherence to applicable laws, regulatory requirements and internal rules, policies and guidelines
• Examination of appropriateness and effectiveness of internal rules, policies and guidelines, assessment of the need for additional directives, develop and/or review of respective internal rules, policies and guidelines
• Ensuring the licensing, notification and publication as an asset manager of collective investment schemes according to the Financial Institutions Act (FinIA; in German: FINIG)
• Monitor and assess relevant regulatory developments in Switzerland/EU or further target countries of client directly affecting the client’s function as an asset manager of collective investment schemes according to FinIA as well as respective local regulation
• Ensure cross border compliance with applicable foreign laws and regulations applicable to services rendered by the client in its target countries
• Conduct regular compliance risk assessments
• Involvement in annual regulatory audit
• Act as point of contact for regulatory bodies and authorities and handle all compliance related inquiries, incidents and inspections
• Responsible for annual compliance trainings

Requirements:

• Master degree in Business, Finance or Law, that should be combined with an additional degree in Compliance
• At least eight years’ Swiss work experience in Compliance gained at a regulated asset manager, ideally with a focus on alternative and/or illiquid investments. Proven know-how of Swiss/EU financial markets regulation and respective compliance standards as well as relevant investment structures and applicable laws and regulations. Proven track record of developing and implementing compliance programs
• Experience with investment foundations and knowledge of the respective regulatory requirements is considered a plus as is knowledge of the financial markets’ regulation in APAC and the Middle East
• Native German and fluent English (at least level C1) are a must, additional languages are a plus
• Excellent analytical, problem-solving, and decision-making abilities
• Detail-oriented with a high level of integrity, loyalty and ethical standards
• Outstanding communication and interpersonal abilities, with the capacity to interact effectively with stakeholders at all levels of the organization and build strong relationships with key stakeholders
• Ability to work independently and collaboratively in a fast-paced, dynamic environment
• Pro-active and hands-on approach, eagerness to constantly learn and face new challenges
• EU/EFTA citizenship and residence within a commutable radius of Zurich

Place of work: Zurich (with possibility of flexible working)