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.
The Legal & Compliance team of Corporate and Public Affairs in Zurich offers development opportunities in a successful and diverse environment. We observe high standards of individual behavior and business conduct and as the second level of control, we work closely with the business to support good compliance practices within the firm.
An opportunity has arisen for a Senior Compliance Officer Suitability based in Zurich who is interested in working in an international and fast changing environment.
You will be part of an international legal and compliance department at a Zurich headquartered investment house that has grown rapidly and is continuing to expand internationally.
In this role, you will work closely with experienced lawyers and compliance officers, who will seek to further develop your expertise and specialist knowledge.
- Overall responsibility for the Suitability Compliance Function (esp. Fidleg, MiFID, WpHG) of the group within the Legal & Compliance organisation.
- Leading and conducting compliance risk assessments within the investment compliance/suitability domain for the group, with a focus on the client unit Wealth Management in close collaboration with our dedicated subject matter experts.
- Responsibility for planning, implementation and execution of periodic second line of defense compliance controls (both compliance controls of first line of defense controls and own controls) as well as the management and continuous development of the corresponding control inventory for the second line of defense investment compliance/suitability compliance function.
- Monitoring compliance with legal and regulatory developments in the area of investment compliance / suitability in Switzerland, the European Union, incl. and in particular in Germany, and in other relevant jurisdictions, leading implementation projects from a second line of defense perspective as well as drafting and revising internal documents and policies.
- Reporting within the suitability framework of the compliance function, including ad-hoc reporting to management and the board on arising incidents.
- Advising on group projects and day-to-day business issues from a second line of defense perspective.
- Several years of practical experience in the area of suitability compliance function and profound knowledge of the European financial market regulation (MiFID; MAR as well as the German WpHG) and the corresponding regulations in Switzerland (Fidleg, Fidlev) as well as other countries.
- Proven experience in performing risk assessments, setting and implementing as well as executing controls (internal control system/risk management).
- Experience in leading employees and projects with a high management attention and different stakeholders within the overall organisation, as well as in the structured processing of legal and regulatory requirements and their internal implementation (incl. an understanding of systems and processes).
- Recognized for your team spirit, positive thinking and solutions-oriented mindset.
- Excellent communications kills and a strong customer focus.
- Able to quickly grasp new concepts and situations; you are precise, structured and organized with strong analytical and conceptional skills.
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 .