Investment & Trading Compliance Officer

Pictet Group; Genf; Vor Ort; CHF 120.000 - 170.000; Vollzeit

Zusammenfassung

Pictet Group in Geneva invites applications for a senior role in Investment & Trading Compliance within Pictet AM. You will establish governance, monitor CMP, update policies, and report to senior management while ensuring best execution and alignment with global regulatory requirements.

You will be the primary contact for inquiries, support internal teams and external stakeholders, and stay ahead of regulatory developments, conducting periodic reviews to strengthen the compliance framework.

Qualifikationen

• Experience in an asset management firm and sound knowledge of the financial services sector.
• Knowledge of FINMA, SEC, FCA, ESMA and EU rules is a plus with willingness to learn.
• Effective analytical and organisational skills and strong written and verbal communication.
• Ability to investigate issues, proactively problem solve and handle multiple tasks with attention to detail.
• Team player and ability to build positive relationships across the business internally and externally.
• Strong judgement, integrity, and professional demeanour that instils confidence in others.
• Desire to take ownership of and manage own workload to a high standard.
• Tech-savvy, comfortable adjusting to new systems and operating at an expert user level with MS Office applications.
• Experience in programming languages such as Python, SQL, VBA and proficiency using AI such as Claude.
• Fluency in English and French.
• Must be resident in Switzerland or willing to relocate.

Aufgaben

• Establishing and upholding our Global Investment & Trading Compliance Governance Framework, while promoting a culture of positive compliance throughout Pictet AM.
• Performing and supervising the execution of the Compliance Monitoring Plan (CMP) for Pictet AM, ensuring the timely completion of associated tasks, and reporting to boards, committees, and Senior Management.
• Defining, updating and maintaining Investment & Trading Compliance Framework and policies.
• Analysing the effect of Pictet AM new business initiatives and investment products on the CMP.
• Monitoring Best Execution ensuring adherence to regulatory requirements and industry best practices.
• Supporting the Gatekeeper within Equity and Fixed Income, ensuring compliance with Pictet AM Gatekeeper policies and procedures.
• Serving as the primary point of contact for all Investment and Trading Compliance related inquiries and issues, providing expert guidance and support to internal teams and external stakeholders.
• Monitoring industry-wide compliance initiatives as well as global regulatory developments and conduct analyses as to how such developments impact Pictet AM.
• Conducting comprehensive and periodic thematic reviews, and control testing to continuously strengthen our compliance framework.
• Supporting the broader compliance team to ensure continuity of compliance related activities as and when required.

Kenntnisse

Asset management experience

Regulatory knowledge (FINMA/SEC/FCA/ES

Analytical skills

Written and verbal communication

Problem solving

Team player

Integrity and professional demeanour

MS Office proficiency

Python

SQL

VBA

AI tools (Claude)

Tools

MS Office

Python

SQL

VBA

Claude AI

Jobbeschreibung

Your team

The Pictet Group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5000 people.

Your team

The Pictet Group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5000 people.
Pictet Asset Management (Pictet AM) manages the assets of some of the world’s largest institutions, financial intermediaries and their clients. Our culture welcomes independent thinkers and centres around investment excellence, a long-term perspective and a dedication to client service.
Pictet AM's Compliance Team is organised around three main areas: Distribution, Investment & Trading, and Core Compliance. This role is part of the Global Investment and Trading Compliance pillar based in Geneva, primarily responsible for the Global Compliance framework for Pictet AM’s investment and trading platforms (e.g. best execution, market abuse, gatekeeping, e-coms recording and monitoring and related training). The role reports directly to the Head of Investment & Trading Compliance.

Your role

• Establishing and upholding our Global Investment & Trading Compliance Governance Framework, while promoting a culture of positive compliance throughout Pictet AM.
• Performing and supervising the execution of the Compliance Monitoring Plan (CMP) for Pictet AM, ensuring the timely completion of associated tasks, and reporting to boards, committees, and Senior Management.
• Defining, updating and maintaining Investment & Trading Compliance Framework and policies.
• Analysing the effect of Pictet AM new business initiatives and investment products on the CMP.
• Monitoring Best Execution ensuring adherence to regulatory requirements and industry best practices.
• Supporting the Gatekeeper within Equity and Fixed Income, ensuring compliance with Pictet AM Gatekeeper policies and procedures.
• Serving as the primary point of contact for all Investment and Trading Compliance related inquiries and issues, providing expert guidance and support to internal teams and external stakeholders.

• Monitoring industry-wide compliance initiatives as well as global regulatory developments and conduct analyses as to how such developments impact Pictet AM.
• Conducting comprehensive and periodic thematic reviews, and control testing to continuously strengthen our compliance framework.
• Supporting the broader compliance team to ensure continuity of compliance related activities as and when required.

Your profile

• Proven experience in an asset management firm and sound knowledge of the financial services sector.
• Knowledge of FINMA, SEC, FCA, ESMA and EU rules and regulations is a plus with willingness to learn.
• Effective analytical and organisational skills and strong written and verbal communication skills.
• Ability to investigate issues, proactively problem solve and handle multiple tasks with attention to detail working to strict deadlines.
• Team player and ability to build positive relationships across the business internally and externally and commitment to contributing to a strong compliance culture within the firm.
• Strong judgement, integrity, and professional demeanour that instils confidence in others.
• Desire to take ownership of and manage own workload to a high standard.
• Tech-savvy, you will be comfortable adjusting to new systems and operating at an expert user level with MS Office applications.
• Experience in programming languages such as Python, SQL, VBA and proficiency using AI such as Claude.
• Fluency in English and French.
• Must be resident in Switzerland or willing to relocate.

Ref: ITCO/CT/RH

Note

We will not accept any CVs via agencies

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.