Compliance Manager recruitment

Responsibilities

  1. To assist the Head of Compliance in providing a response to any request for information made by the regulator.
  2. To identify and report on risks or potential conflicts of interest arising from new products, strategies or processes at PAM SA.
  3. To ensure that all errors and breaches identified are promptly reported and that appropriate corrective actions are taken.
  4. To improve implementation of Compliance monitoring procedures and processes for the investment teams (including PAM Operations linked to such activities) in compliance with SEC and FINMA standards.
  5. To carry out the daily monitoring of adherence to client investment restrictions on the system (PAMFolio).
  6. To develop and maintain an appropriate Compliance culture within PAM and ensure adherence to the PAM SA Code of Ethics.
  7. To provide pragmatic business-orientated advices to the different business lines.
  8. To develop knowledge of FINMA and SEC regulation and best practice.
  9. To provide assistance with the thematic and departmental reviews performed by Compliance of PAM SA, in accordance with the requirements of the Compliance monitoring plan. 

Profile

• Five to eight years’ experience in a similar role, ideally within an asset management company.

• Master’s degree in Economics or equivalent, ideally completed with a compliance-related certification.

• Knowledge of Swiss, UK or US regulations (SEC, FINMA, FSA). Knowledge of broking or private banking would be an asset. 

• Knowledge of fixed income products would be appreciated.

• Fluency in English and French is a must. Good knowledge of German would be a definite plus.

• Must be resident in Switzerland or willing to relocate.

As the chosen applicant, you will be trustworthy, discreet and flexible. You will also be able to develop solid working relationships and enjoy teamwork. In addition, you will have a keen sense of urgency, be able to meet deadlines and respond quickly to any requests. You will also have a definite interest in legal and regulatory matters and be keen to join a small and dynamic team where it will be possible to add to your existing knowledge and skills.