At Vontobel, we actively shape the future. We create and pursue investment opportunities with determination. We master what we do - and we only do what we master. This is how we get our clients ahead. As a global financial services provider with Swiss roots, we specialize in wealth management, active asset management and tailor-made investment solutions.
We invest in people who create opportunities to deliver the client experience of tomorrow.
Do you want to work closely with the business to support good compliance practices within the firm?
The Investment Portfolio Compliance Officer will be a member of the Asset Management Legal & Compliance team and will act as an intermediary between Portfolio Management, Trading, Middle Office, and Investment Control to ensure that portfolios are compliant with all investment restrictions and the firm's policies and procedures.
- Assist the Investment Team in ensuring trades comply with relevant portfolio limitations prior to trade execution;
- Review and approve pre-trade and cross-trade requests in compliance with regulatory requirements and investment guidelines of the firm's separately managed portfolios and collective investment schemes;
- Review market sounding requests and maintain the Compliance Restricted Lists;
- Liaise with Investment Control in regards to investment restrictions coded in the Investment Management System;
- Interact with portfolio management, trading and operations;
- Provide compliance input on the due diligence of key service providers related to the Investment Management System;
- Participate in the relevant committees of the firm;
- Perform general compliance and operational risk related functions; and
- Participate in various legal and compliance projects.
- Minimum of 5 years of trading and asset management
- Experience with compliance monitoring systems (e.g. Charles River Investment Management System)
- Master's degree in business, finance, accounting, or economics
- Further qualification a plus (e.g. AZEK, CAIA)
- Computer proficient including Microsoft Office Suite
- Experience in implementing systems and processes
- Excellent written and verbal communication skills
- Detail oriented
- Able to work independently and as part of a team
- Capable to prioritize effectively and meet both fixed and shifting deadlines
- Keen to take ownership on business critical situations and to help the business to meet our strategic goals
- A trusted advisor as well as a valuable business stakeholder
- English fluent; German a plus
Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.
At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.
We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.
If you have any questions you can contact us through our contact form .