Global SEC Compliance Lead for U.S. & Swiss Regs

SwissComply AG; Zürich; Vor Ort; CHF 120.000 - 160.000; Vollzeit

Zusammenfassung

SwissComply AG in Zürich is seeking an experienced SEC Compliance Officer to strengthen our compliance function for clients who are dual-registered with FINMA and SEC IA. You will oversee the SEC framework, manage examinations, and maintain Form ADV filings in an international setting.

The ideal candidate has deep knowledge of U.S. SEC regulations for investment advisers, experience with annual program reviews, and is fluent in English (German preferred).

Qualifikationen

• Minimum 5 years of compliance experience in an SEC-registered adviser or related asset management business.
• Strong knowledge of SEC regulations for investment advisers.
• Experience with SEC examinations and Form ADV filings.
• English proficiency; German language skills are a plus.

Aufgaben

• Oversee and maintain the firm's SEC compliance framework and written policies and procedures.
• Monitor compliance with the Investment Advisers Act of 1940 and related SEC requirements.
• Lead the annual review of the compliance program under Rule 206(4)-7.
• Coordinate SEC examinations, regulatory inquiries, and document requests.
• Review and maintain Form ADV filings and related disclosures.
• Ensure compliance with SEC marketing, cybersecurity, personal trading, and recordkeeping requirements.
• Monitor regulatory developments and assess their impact on activities.
• Deliver compliance training programs for employees.
• Manage conflicts of interest processes and updates to the Code of Ethics and Compliance Manual.
• Liaise with Swiss regulators, auditors, and industry bodies as required.

Kenntnisse

SEC regulations

US SEC Act 1940

Regulatory examinations

Policy drafting

Ausbildung

University degree in Law, Finance, Accounting, Business Administration or related field

Jobbeschreibung

SwissComply AG in Zürich is seeking an experienced SEC Compliance Officer to strengthen our compliance function for clients who are dual-registered with FINMA and SEC IA. You will oversee the SEC framework, manage examinations, and maintain Form ADV filings in an international setting.

The ideal candidate has deep knowledge of U.S. SEC regulations for investment advisers, experience with annual program reviews, and is fluent in English (German preferred).