Senior Compliance Officer

Vontobel-posted 2 months ago
$140,000 - $185,000/Yr
Full-time • Senior
New York, NY
1,001-5,000 employees
Management of Companies and Enterprises
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Vontobel is seeking a highly motivated and experienced Senior Compliance Officer who is ready to take their career to the next level. This role offers a unique opportunity to join our dynamic Americas compliance team and support the administration and implementation of the compliance program of a registered investment adviser ('RIA') with offices in Switzerland and the U.S. and 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 very 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.

  • Provide compliance support and oversight of the firms' Private Client business taking into account U.S. and Swiss rules and regulations.
  • Develop, maintain, and implement compliance policies and procedures including the Compliance Manual 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.
  • Prepare and coordinate regulatory disclosures and filings.
  • Execute the anti-money laundering and sanctions policies and procedures.
  • Support the compliance review of marketing and sales materials for adherence with SEC and FINMA marketing rules and regulations.
  • Provide regulatory advice to business stakeholders and senior management on a wide variety of regulatory and compliance matters.
  • Partner with colleagues in the Zurich headquarter office on projects impacting Vontobel's businesses.
  • Maintain a strong understanding of industry trends and staying informed on regulatory events and changes.
  • Education: 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, ideally, FINMA regulations.
  • Familiarity with Compliance technology platforms and regulatory filing systems.
  • Experience supporting dynamic, fast-paced business initiatives while collaborating with colleagues across multiple locations and time zones.
  • Proactive with demonstrated ability to take initiative and work independently under limited supervision.
  • A result driven professional who thrives in an entrepreneurial environment.
  • Highly organized and detailed oriented with the ability to manage multiple projects simultaneously with tight deadlines.
  • Salary range for this role is $140,000 - $185,000 in base pay (exclusive of bonus or benefits above and beyond the base pay).
  • Base pay offered will be determined on a case-by-case basis considering your experience, skills, training, and education.
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