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SEC Compliance Officer – Zürich | JobRevolt

Über den Job

We are a Swiss compliance firm primarily focused on Swiss asset managers. We are looking for a SEC Compliance Officer to strengthen our Compliance function by serving clients who are dual-registered: FINMA licenced and also registered as SEC Investment Adviser (RIA) in the United States. This is an excellent opportunity for a compliance professional who enjoys working in an international environment and contributing to a strong culture of integrity and regulatory excellence.

Aufgaben

Oversee and maintain the firm's SEC compliance framework and written compliance policies and procedures
Monitor compliance with the U.S. Investment Advisers Act of 1940 and related SEC requirements
Lead the annual review of the firm's compliance program as required under Rule 206(4)-7
Manage and coordinate SEC examinations, regulatory inquiries, and document requests
Review and maintain regulatory filings, including Form ADV and related disclosures
Ensure compliance with SEC marketing, advertising, custody, cybersecurity, personal trading, and recordkeeping requirements
Monitor regulatory developments and assess their impact on the firm's activities
Opportunity to serve as designated CCO for selected client advisers (optional)
Develop and deliver compliance training programs for employees
Manage employees' personal account dealing and conflicts of interest processes
Review and update the Code of Ethics, Compliance Manual and related policies
Support compliance with Swiss financial market regulations, including FINIA, FINSA, CISA, AMLA, AMLO, and the CDB 20
Liaise with Swiss regulatory bodies, auditors, and industry associations as required
Assist with risk assessments and regulatory reporting obligations

Profil

University degree in Law, Finance, Accounting, Business Administration or a related field
Minimum 5 years of compliance experience within: an SEC-registered investment adviser (RIA), a U.S. asset manager, a global wealth manager, or a regulated asset management business
Strong knowledge of SEC regulations applicable to investment advisers
Practical experience with SEC examinations and Form ADV filings
Experience drafting and maintaining compliance policies and procedures
Excellent analytical, organizational, and communication skills
Excellent level of English and preferably fluent in German
Demonstrates impeccable integrity and professional judgment
Proactive, independent, and solution-oriented
Strong attention to detail while maintaining a pragmatic business mindset
Comfortable engaging with senior executives, regulators, auditors, and external counsel

Rahmenbedingungen

Morgartenstrasse 6, 8004 Zürich
Contact: SwissComply AG
Are you looking for a challenging opportunity that will foster both your professional and personal growth? We look forward to receiving your application.

SEC Compliance Officer

Über den Job

Über den Job

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