Senior Compliance & Risk Manager

UR Capital; Genf; Vor Ort; CHF 150.000 - 190.000; Vollzeit

Zusammenfassung

UR Capital in Geneva seeks a Senior Risk & Compliance Officer to oversee compliance, operational risk and governance for its Swiss asset management activities.

You will provide advisory support, ensure regulatory adherence, supervise second-line controls, manage KYC reviews, and report to senior management and the Board. The role requires fluent English and French and the ability to collaborate with international teams and external auditors.

Qualifikationen

• 8+ years of professional experience in Risk & Compliance within Swiss asset management or financial institutions.
• Strong practical knowledge of FINMA regulations incl. FinSA, FinIA and AMLA.
• Experience in asset management compliance including investor protection, product governance, AML/KYC, sanctions and cross-border activities.
• Excellent communication and interpersonal skills with senior stakeholders.
• Ability to work independently while collaborating with international teams.

Aufgaben

• Provide compliance advisory support to Swiss asset management entities and business teams.
• Ensure compliance with Swiss regulatory framework including FinSA, FinIA, CISA, AMLA, and FINMA requirements.
• Oversee cross-border activities, distribution rules and sales practices.
• Maintain, review and enhance compliance policies, procedures and internal guidelines.
• Monitor regulatory developments and assess impact on the business.
• Develop and implement second-line compliance and operational risk controls.
• Conduct operational risk assessments and maintain risk mapping with remediation follow-up.
• Oversee outsourced activities and perform second-level controls on compliance and risk.
• Support KYC and onboarding processes including second-level reviews and due diligence.
• Prepare compliance and operational risk reporting for senior management and Boards.
• Act as a point of contact for FINMA, external auditors and other stakeholders on compliance and risk matters.
• Escalate material compliance issues and risk matters to local and Group management.
• Contribute to compliance and risk training for Front/Middle Office, Sales and control functions.
• Support group compliance and permanent control activities as required.
• Contribute to oversight of risk and compliance across international entities.
• Support corporate governance and company secretarial activities including Swiss Board meetings.

Kenntnisse

Risk & Compliance

FINMA knowledge

Regulatory monitoring

Stakeholder communication

Cross-border

English & French

Jobbeschreibung

Join an established international asset management organisation in Geneva as a Senior Risk & Compliance Officer, overseeing compliance, operational risk and governance matters for its Swiss asset management activities.

Responsibilities

• Provide compliance advisory support to the Swiss asset management entities and business teams.
• Ensure compliance with the Swiss regulatory framework, including FinSA, FinIA, CISA, AMLA, relevant ordinances and FINMA requirements.
• Oversee cross-border activities, distribution rules and sales practices.
• Maintain, review and enhance compliance policies, procedures and internal guidelines.
• Monitor regulatory developments and assess their impact on the business.
• Develop, implement and perform second-line compliance and operational risk controls.
• Conduct operational risk assessments and maintain risk mapping, following up on remediation actions where required.
• Oversee outsourced activities and perform second-level controls on compliance and risk activities delegated to other group entities.
• Support KYC and onboarding processes, including second-level reviews, periodic reviews and client/counterparty due diligence.
• Prepare compliance and operational risk reporting for senior management and Boards.
• Act as a key point of contact for FINMA, external auditors and other relevant stakeholders on compliance and operational risk matters.
• Escalate material compliance issues, operational incidents and risk matters to local and Group management.
• Contribute to the organisation and delivery of compliance and risk training for Front Office, Middle Office, Sales and control functions.
• Provide support to broader Group compliance and permanent control activities when required.
• Contribute to the oversight of risk and compliance activities across selected international entities.
• Support corporate governance and company secretarial activities, including preparation and follow-up of Swiss Board meetings and related documentation.

Requirements

• 8+ years of professional experience in Risk & Compliance, ideally within a Swiss asset management company, investment manager or financial institution.
• Strong practical knowledge of the Swiss regulatory framework, including FINMA regulations, FinSA, FinIA, CISA and AMLA.
• Proven experience in asset management compliance, including investor protection, product governance, AML/KYC, sanctions and cross-border activities.
• Solid understanding of compliance monitoring, second-line controls and operational risk frameworks.
• Previous experience dealing with FINMA, auditors and senior management is highly valued.
• Familiarity with European regulatory frameworks such as UCITS, AIFMD and MiFID II is an advantage.
• Strong analytical mindset with the ability to translate regulatory requirements into practical and effective processes.
• Excellent communication and interpersonal skills, with the ability to interact confidently with senior stakeholders and business teams.
• Pragmatic, proactive and solution-oriented approach.
• Strong organisational skills and attention to detail.
• Ability to work independently while collaborating effectively with international teams.
• Fluent English and French is essential.