Global Compliance Specialist — SEC/FINMA Ready

Alpen Partners AG | Switzerland; Zürich; On-site; CHF 90,000 - 150,000; Full time

Benefits offered by this job

Young, dynamic and diversified team

Diversified tasks in all areas of Com­

Multinational working environment

Regulatory trainings on FINMA/SEC/CA

Job summary

Alpen Partners AG in Freienbach SZ/Zurich seeks an experienced Compliance professional for a full-time, permanent role within the Compliance team. You will support regulatory filings, audits, KYC controls and policy maintenance in a dynamic, multilingual environment.

The ideal candidate has 2+ years of relevant experience in banks or asset managers, with fluency in English and German and a law degree considered an advantage. Independent work ethic and strong integrity are essential.

Qualifications

• Minimum 2 years of experience in relevant position at a bank, asset manager or auditor
• Legal degree is an advantage
• Solid background in Office tools
• Able to work independently by taking initiatives and also being a fair team player
• Enjoy working in a small and demanding environment
• Strong organizational skills, multi-tasking capacity and ability to work under pressure
• Highly reliable and accurate, with a keen eye for detail
• Dynamic and flexible, with an strong interest in learning
• Efficient and proactive communication, with the ability to communicate fluently (speaking and writing) in both English and German. Any other language will be valued
• Previous experience from working in an SEC regulated firm, FINMA licensed Asset Manager and / or firm with Canadian Portfolio manager license.
• High level of confidentiality and integrity
• Prepare and conduct internal Compliance trainings
• Coordinating work with outside legal and compliance providers
• Prepare annual filings / especially ADV filing for our SEC unit
• Prepare and attend audits from regulators (FINMA, SEC and Canadian regulator)
• Support to establish and control KYC files
• Maintain the company's policies and agreement templates
• Maintain the firm's IC and ensure completion of periodical internal controls within deadlines

Responsibilities

• Prepare and conduct internal Compliance trainings
• Coordinating work with outside legal and compliance providers
• Prepare annual filings / especially ADV filing for our SEC unit
• Prepare and attend audits from regulators (FINMA, SEC and Canadian regulator)
• Support to establish and control KYC files
• Maintain the company's policies and agreement templates
• Maintain the firm's IC and ensure completion of periodical internal controls within deadlines

Skills

Compliance experience

English fluent

German fluent

Independent worker

Team player

Education

Law degree (advantage)

Tools

Office tools

Job description

Alpen Partners AG in Freienbach SZ/Zurich seeks an experienced Compliance professional for a full-time, permanent role within the Compliance team. You will support regulatory filings, audits, KYC controls and policy maintenance in a dynamic, multilingual environment.

The ideal candidate has 2+ years of relevant experience in banks or asset managers, with fluency in English and German and a law degree considered an advantage. Independent work ethic and strong integrity are essential.