Do you enjoy helping businesses in a growth phase? Do you anticipate regulatory changes and turn them into opportunities? We are looking for a motivated and dedicated Chief Legal & Compliance Officer to focus on our US clients.
Vontobel Swiss Wealth Advisors AG (VSWA) is a Zurich-based investment adviser registered with the US Securities and Exchange Commission, providing globally diversified Wealth Management solutions to North American investors.
In this role, you will have a key role and impact on our internal processes and projects, and you will have direct exposure to international business situations and rules.
Your team brings unique expertise and support to the business, acting as a Partner and Advisor to grasp growth opportunities.
- Take full responsibility for the design, monitoring, regular review and adaptation of all legal, regulatory and internal compliance rules and codes of conduct to prevent illegal, unethical and abusive behavior by staff
- Design and documentation of internal periodic and ad hoc legal and compliance controls and control processes
- Take full responsibility for the timely submission of all notifications and reports with the competent authorities in the USA and Canada
- Collaborate with key and senior internal stakeholders, including members of the board of director, senior management, relationship managers and other Legal & Compliance units
- Conducting employee training on current compliance and legal topics as well as introductory training for all new employees
- Advise on new projects and business initiatives, review and revision of contracts with clients and third parties from a legal perspective
- Consulting and support of the business areas of VSWA in all legal matters and questions in relation to customer complaints as well as requests by third parties
- Coordination and cooperation with external lawyers in Switzerland and abroad
- Responsibility for checking the account opening documents for their compliance with the AML (KYC, PEP, OFAC)
- Organization and further development of the Legal & Compliance VSWA department, including lead and inspiration of an internal compliance officer and, if required external resources
- Verification/Approval of marketing materials
- Masters of Law of US and/or Swiss University
- Qualification to be registered as in-house counsel in charge
- At least five years of relevant experiences as Legal & Compliance Officer with a Bank or a financial institution, preferably within a SEC registered Wealth Management firm.
- Solid leadership principles
- Proven experience with risk identification and assessments, including risk of conflicts and other compliance factors creating risk exposure for VSWA and its clients
- Very good knowledge of the relevant topics within Wealth Management as well as the corresponding application of banking and contractual law
- Great sense of integrity, behaving consistently with expressed values and ethical principles of Vontobel
- Full proficiency in English and German, further language skills are an asset (e.g. French)
- A discrete, trustworthy and communicative person with a positive mind set and excellent negotiation skills
- A hands on professional who is devoted to its work; a calm person with very good organizational skills
- A proactive self-starter who can work independently, goal oriented and exact.
- An excellent communicator with a business sense
Please upload all your documents, including CV, cover letter, reference letters and diplomas.
Céline Lüssi is looking forward to receive and review your application.
Please apply via our career portal. For this position, please note that we do not consider applications from recruitment agencies.
If you have any question you can contact us through ourcontact form.