Senior Compliance Officer

Stellenbeschreibung

Aufgaben

• Provide compliance support and oversight of the firms’ investment advisory businesses.
• Develop, maintain, and implement compliance policies and procedures including the Compliance Manuals and Code of Ethics
• Create, manage, and deliver ongoing periodic risk based and annual compliance trainings.
• Support the execution of the annual 206(4)-7 review including monitoring, surveillance, testing, and compliance risk assessment
• Execute the anti-money laundering and sanctions policies and procedures.
• Support the compliance review of marketing and sales materials (including Request for Proposals) for adherence with SEC marketing rules and regulations.
• Prepare and complete periodic client compliance reports, certifications, and due diligence questionnaires.
• Provide regulatory advice to business stakeholders and senior management on a wide variety of regulatory and compliance matters
• Partner with colleagues in overseas offices on global projects impacting Vontobel’s businesses.
• Maintain a strong understanding of industry trends and staying informed on regulatory events and changes.

Anforderungen

• Bachelor’s degree from an accredited institution required.
• Minimum 8 years of compliance experience with an SEC registered investment adviser.
• Excellent verbal and written communication skills, and the ability to communicate effectively with all levels of management.
• Strong interpersonal skills including the ability to work in a team environment and collaborate effectively.
• Strong working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Familiarity with the ERISA, CFTC and NFA rules and regulations a plus.
• Familiarity with Compliance technology platforms and regulatory filing systems
• Proactive with demonstrated ability to take initiative and work independently under limited supervision.
• Proficient in Microsoft Office Suite.

Wir bieten

• The salary range for this role is $180,000 – $230,000 in base pay (exclusive of bonus or benefits above and beyond the base pay).

Warum Vontobel?

At Vontobel, you are building better futures for our clients and society, as well as for yourself. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability. Our diverse team values unique perspectives, and we hire individuals determined to deliver in a dynamic and changing world.