Description

Job Description

On behalf of our client, a FINMA-regulated asset manager specialising in impact investing, we are seeking a Compliance & Risk Management Officer to ensure a strategic transition within the Risk & Compliance team. The company manages several funds primarily invested in private debt from emerging markets, with a strong social impact dimension, as well as a UCITS fund invested in listed bonds.

In the context of a temporary replacement of a key management member and to ensure continuity of compliance and risk management activities, we are looking for a professional able to quickly integrate into the organisation, work closely with the CFO and management, and act as a point of reference on regulatory, internal control and risk management matters.

This assignment, based in Geneva or Zurich, aims to ensure an effective transition within the Risk & Compliance function. We are seeking a professional available as soon as possible, with a preferred start date in early August or, at the latest, early September. The assignment is planned for an initial duration of six months at a 50% workload, with the possibility of extension depending on the organisation's needs.

Main Responsibilities

Compliance

• Prepare quarterly compliance reports for the Management and Board of Directors
• Participate in regulatory audits and coordinate auditors’ requests
• Validate AML/KYC alerts and contribute to the anti-money laundering framework
• Serve as the point of contact for management companies, auditors and regulatory authorities
• Manage interactions with FINMA and submissions via its platforms
• Prepare and submit annual regulatory questionnaires
• Advise commercial teams on marketing and cross-border activity issues
• Conduct and supervise Internal Control System (ICS) checks
• Ensure regulatory watch and update internal policies and procedures
• Organise and deliver compliance training to staff

Risk Management

• Produce quarterly risk management reports for management and the Board of Directors
• Conduct annual risk assessments of the organisation
• Perform annual AML risk assessments and risks related to market conduct rules
• Maintain and update the risk matrix
• Feed external risk monitoring tools for the UCITS fund
• Prepare monthly risk-related reporting
• Participate in investment committee meetings
• Carry out ad hoc controls of pre-trade and post-trade processes

We are looking for a profile meeting the following criteria:

• Higher education in law, finance, risk management, compliance or equivalent field
• Proven experience in Compliance and/or Risk Management within an asset manager, bank, financial company or FINMA-regulated environment
• Good knowledge of the Swiss regulatory framework applicable to asset managers
• Practical experience with AML/KYC, internal control, regulatory reporting and risk management
• Ability to interact with senior stakeholders (Management, Board of Directors, auditors, regulatory authorities)
• Professional proficiency in English, both spoken and written
• Autonomy, rigour and sense of responsibility
• Mid-level to senior profile, capable of being operational quickly while integrating sustainably with teams
• Availability for a part-time assignment initially for six months with possibility of extension