Vontobel Holding AG
Overview
Ready to drive compliance across two leading financial markets—U.S. and Switzerland? Vontobel is seeking a highly motivated and experienced Senior Compliance Officer who is ready to take their career to the next level. This role supports the administration and implementation of the compliance program of a registered investment adviser (RIA) with offices in Switzerland and the U.S., dually regulated by the Securities Exchange Commission (SEC) and the Swiss Financial Market Supervisory Authority (FINMA). The successful candidate will report directly to the Chief Compliance Officer and work closely with business stakeholders and compliance team members across Switzerland and the U.S. The role primarily supports activities and projects related to the compliance operations to help ensure the firm’s business activities are conducted in accordance with all applicable laws and regulatory requirements. Our ideal candidate will have expertise in executing an advisory compliance program for a private client business model and the ability to adapt to evolving legal and regulatory landscapes. Responsibilities
Support the administration and implementation of the compliance program of a registered investment adviser (RIA) with offices in Switzerland and the U.S., dually regulated by the SEC and FINMA. Collaborate with business stakeholders and compliance team members across Switzerland and the U.S. Support activities and projects related to compliance operations to ensure the firm’s business activities comply with applicable laws and regulatory requirements. Qualifications
Expertise in executing an advisory compliance program for a private client business model. Ability to adapt to evolving legal and regulatory landscapes.
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Ready to drive compliance across two leading financial markets—U.S. and Switzerland? Vontobel is seeking a highly motivated and experienced Senior Compliance Officer who is ready to take their career to the next level. This role supports the administration and implementation of the compliance program of a registered investment adviser (RIA) with offices in Switzerland and the U.S., dually regulated by the Securities Exchange Commission (SEC) and the Swiss Financial Market Supervisory Authority (FINMA). The successful candidate will report directly to the Chief Compliance Officer and work closely with business stakeholders and compliance team members across Switzerland and the U.S. The role primarily supports activities and projects related to the compliance operations to help ensure the firm’s business activities are conducted in accordance with all applicable laws and regulatory requirements. Our ideal candidate will have expertise in executing an advisory compliance program for a private client business model and the ability to adapt to evolving legal and regulatory landscapes. Responsibilities
Support the administration and implementation of the compliance program of a registered investment adviser (RIA) with offices in Switzerland and the U.S., dually regulated by the SEC and FINMA. Collaborate with business stakeholders and compliance team members across Switzerland and the U.S. Support activities and projects related to compliance operations to ensure the firm’s business activities comply with applicable laws and regulatory requirements. Qualifications
Expertise in executing an advisory compliance program for a private client business model. Ability to adapt to evolving legal and regulatory landscapes.
#J-18808-Ljbffr