My client is a Swiss Financial Services Boutique (FINMA licensed) with worldwide presence. Based in Zurich my customer is offering wealth and asset management services to investors, corporates as well as banks and financial institutions globally.

To accomodate the group's further expansion successfully we are recruiting an experienced Legal & Compliance professional to join the Team in Zurich.

Your Responsibilities
  • general legal and compliance duties as Legal & Compliance Officer of a securities firm supervised by FINMA
  • review of High Risk Transactions in a timely and diligent manner
  • diligent Client Acceptance Prepartion (KYC, individual persons rsp. entities with higher risk, PEP etc.) in line with priorities set by the business
  • specialist advice in regards to structured products, digital assets and in the sale of collective investment schemes
  • assessment of Worldcheck hits, tradeblotter entries and other control tasks
  • advising employees on day to day tasks in compliance with applicable laws, regulations, policies as well as internal regulations and directives in general
  • escalation and regular reporting to Senior Management in regards to legal and compliance matters
  • supporting periodic review of High Risk Clients, clients in general as well as legal and compliance documentation
  • take ownership in various projects and business initiatives including updating existing processes, policies and manuals
  • etc.
Your profile
  • University or technical college degree in law or Business Administration (with specialization in Banking)
  • Several years of experience (at least 3 years) in compliance with a Financial services company or equivalent activity (e.g. Big Four)
  • product know-how in structured products, AMCs, structured credit is a great benefit
  • Interest in personal development in the area of Legal & Compliance
  • Very good analytical and conceptual skills as well as the ability to set priorities
  • Assertiveness and hands-on approach as well as the ability to meet legal requirements with economic aspects
  • Communicative, team player, resilient and reliable personality
  • Fluent in German and English

 

Our offer
  • wide range of tasks and responsibilities in a family environment with people from differenct cultures
  • modern workplace in Zurich's Seefeld
  • working pensum in line with your and the client's expectations, Home Office etc.
  • global network of financial experts with a unique and exceptional combination of skills, personality and experience

 

 

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Peter Vogler Partner
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