Head Risk & Compliance

I look forward to receiving your application via e-mail to info@signer-beratungen.ch. If you have any questions, please contact me (Phone: 043 299 56 56).

My client is a small Asset Management boutique with a successful track record and a highly professional team of experts. In the process of further growth we are currently seeking an experienced and hands-on professional as their 

Head of Risk & Compliance

The ideal candidate acts as the single point of contact for various stakeholders, e.g. the FINMA, regulatory auditors, custodian banks, brokers, fund service providers and others. The person is in charge of all risk and compliance related matters within the company. This includes in detail the following duties:

RISK

  • Responsible for maintaining and enhancing the risk management framework, including risk governance and reporting, policies, directives and regulations, risk and control assessments, definition of risk appetite
  • Risk control of strategies and portfolios
  • Primary recipient of risk reporting documents (including fund report and corresponding risks, AuM & AM report and corresponding risks, risk reporting) and independent reporting to the Board of Directors
  • Maintaining contacts with risk management professionals in the financial industry
  • Main responsibility for the maintenance and implementation of the internal control system (ICS)
  • Monitoring the market and regulatory environment and analyzing the impact from a risk perspective
  • Provide support, guidance and training to the various functional departments on compliance with risk guidelines
  • Identify areas of higher risk and perform thematic reviews of related processes and procedures
  • Review first line of defense control environment in close collaboration with senior leaders and develop and execute second line of defense controls
  • Advise on all risk issues related to business operations as well as projects and initiatives
  • Promote risk awareness and an appropriate risk culture through training and special sessions, and by providing guidance on risk mitigation and control to first line of defense functionaries 

COMPLIANCE

  • Heading the internal money laundering department
  • Review of all new accounts / proper on-boarding of introducers/external asset managers
  • Monitor and assess international and Swiss AML/KYC/GWG related legal and regulatory developments and industry best practices
  • Maintenance and improvement of internal control system (IKS)
  • Ensure that all policies, laws and guidelines are adhered to (GwG, FIDLEG, FINIG, FATCA, etc.)
  • Regular transaction-monitoring
  • Regular reporting to the attention of the management and the Board
  • Analyze, review, validate FATCA and VSB documentation for legal entities
  • Maintenance of all internal regulations, directives and guidelines (including all contracts)
  • Develop and implement policies and procedures on Compliance
  • Acting as corporate secretary
  • Perform legal due diligence on investments that are targets of the company's managed investment vehicle
  • Preparation and participation in regular audits

For this interesting and versatile role we are looking for candidates with the following background: 

  • University degree in law or economics, ideally with a postgraduate diploma in risk & compliance management 
  • At least 5-8 years' experience in Risk & Compliance of a financial institution
  • Further education in private banking/affluent banking or asset management and its legal framework
  • Broad knowledge of regulations FIDLEG, FINIG, etc.
  • Strong understanding and user knowledge of Operational Risk Management (ORM using MS-Office, MatLab, SQL, Visual Basic Application)
  • Excellent knowledge of applicable rules and regulations and experience in interacting with external auditors and/or regulators as well as Board of Directors
  • Fluency in German and English mandatory
  • Well-developed analytical skills to quickly understand new business situations and issues and provide critical and independent risk assessments
  • Advanced conceptual and analytical skills and good process thinking skills
  • Strong interpersonal skills
  • Excellent communication and presentation skills
  • Efficient and pragmatic working style, proactive, goal-oriented and solution-driven (can-do attitude)
  • Down-to-earth character, self-motivated, persistent and pragmatic
  • Resilient personality who enjoys working in a dynamic, fast-paced and international environment (used to cope with a multicultural crew)

If you are interested to learn more about this challenging and demanding role you should not hesitate to submit your application by mail. 

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