SEC Compliance Officer

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

This job posting was published here directly by one of our clients. The State Secretariat for Economic Affairs has no control over its content or quality.

SEC Compliance Officer

SwissComply AG Vacant since : 21.09.2026 8004 Zürich (ZH) 80% - 100% By agreement Permanent

We are a Swiss compliance firm primarily focused on Swiss asset managers and are currently looking for an SEC Compliance Officer to strengthen our Compliance function by serving our clients who are dual-registered: FINMA licenced and are also registered as investment advisers in the United States, SEC Investment Adviser (RIA).

The ideal candidate will possess deep expertise in U.S. SEC regulations applicable to registered investment advisers and, preferably, a solid understanding of the Swiss regulatory framework, including FINIA, FINSA, AML and CISA-related requirements. This is an excellent opportunity for a compliance professional who enjoys working in an international environment, partnering closely with senior management, and contributing to a strong culture of integrity, governance, and regulatory excellence.

Your responsibilities:

SEC Compliance Program

• 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.

Swiss Regulatory Compliance

• 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.

What you bring with you:

• 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.

Personal Attributes

We are looking for an individual who:

• Demonstrates impeccable integrity and professional judgment.
• Is proactive, independent, and solution-oriented.
• Has strong attention to detail while maintaining a pragmatic business mindset.
• Is comfortable engaging with senior executives, regulators, auditors, and external counsel.

• SwissComply AG
  Morgartenstrasse 6
  8004 Zürich

• Work location 8004 Zürich (ZH)
• Workload 80% - 100%
• Employment start By agreement
• Employment duration Permanent
• By online Online form