Senior Compliance Specialist - Asset Management

 — Lausanne
02.12. | Employee | 100%

Client:
Our client is a Swiss-owned independent asset management company active in alternative investments - to include real estate, private debt and private equity investments as well as  infrastructure.  Well-established, highly successful and growing!  They offer a highly successful and entrepreneurial working environment for an experienced compliance/legal/risk specialist. 

Senior Compliance Specialist - Asset Management

Client:
Our client is a Swiss-owned independent asset management company active in alternative investments - to include real estate, private debt and private equity investments as well as  infrastructure.  Well-established, highly successful and growing!  They offer a highly successful and entrepreneurial working environment for an experienced compliance/legal/risk specialist. 

Senior Compliance Specialist - Asset Management
1229

Position:
Are you an in-house-counsel, compliance professional or a senior consultant in law looking for a fresh challenge in a flatter structure?  Perhaps you are in one of these sorts of roles at a Big 4 company today and keen to be more visible in a smaller structure offering a broader role?       

Primarily supporting the compliance function, you will be working alongside a small team of 3. This is a broad role coming in at a senior level, in this relatively flat structure. 

The role will include, but not limited to, the following tasks:
  • Monitoring and analysing of relevant regulatory developments and setting up implementation concepts
  • Responsible for the internal control system and eventually support the risk management function
  • First contact person for external counsel 
  • Preparation and execution of compliance trainings for employees
  • Developing, maintaining and reviewing of delegated legal documents 
  • Participation in various projects as regards new products, cross-border markets and ad-hoc requests from the Board of Directors 
  • Preparation and follow up of internal and external audits
Profile:
  • Master University degree in law, compliance, ecomomics or banking/finance
  • CAS and/or Fund Academy qualification a strong plus
  • A minimum of 5 years+ experience in an asset management compliance role (those from private banking compliance/legal also considered if you meet all the criteria)
  • Native/bi-lingual German, as well as French and English 
  • Excellent knowledge of Swiss and European fund regulations a must e.g CISA, MiFID II etc
  • Seasoned in Swiss and European AML standards enabling to prepare MLRO approval
  • FINMA and/or CSSF authorisations as Conducting Officer a strong plus
  • Experience in other, finance related regulations such as FATCA, cross border, automatic exchange of information and GDPR
  • A team player with a strong ability to work independently as well as adaptability and flexibility
  • Able to manage stress and a strong sense for priorities
  • Already resident in Switzerland with valid work permit ideally, or strong reasons to move to the region
#AML #fund regulations  #CISA, FISA, FINIA  #AIFMD, MiFID II  #in-houselawyer #riskmanagement #assetmanagement #institutionalclients #compliance

FINDERS SA

Avenue du Théâtre 7Lausanne

Industry

Human resources / Personnel services

Year of foundation

1990