Senior Compliance Officer

Vontobel Holding AG; New York (NY); On-site; USD 180,000 - 230,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Officer to enhance their compliance operations. This pivotal role involves overseeing compliance for investment advisory businesses, developing policies, and ensuring adherence to regulatory frameworks. The ideal candidate will possess extensive experience in regulatory compliance, particularly with investment advisers, and demonstrate strong communication and project management skills. Join a dynamic team dedicated to building better futures, where your contributions will directly impact the firm's compliance landscape and prepare you for future leadership opportunities.

Qualifications

• 8+ years of compliance experience with SEC registered investment advisers.
• Strong knowledge of regulatory compliance frameworks for private funds.

Responsibilities

• Provide compliance support and oversight for investment advisory businesses.
• Develop and implement compliance policies and procedures.

Skills

Regulatory Compliance

Investment Advisers Act of 1940

Communication Skills

Interpersonal Skills

Project Management

Education

Bachelor's Degree

Tools

Compliance Technology Platforms

Regulatory Filing Systems

Microsoft Office Suite

Job description

Vontobel is seeking a highly motivated and experienced Senior Compliance Officer who is ready to take their career to the next level.

This role offers the opportunity to join our dynamic US Institutional Client compliance team and support the administration and implementation of the compliance programs of two affiliated registered investment advisers (“RIA”).

The successful candidate will work very closely with our Head of Americas Advisory Compliance and this role is designed to put this person on track to assume the Chief Compliance Officer position of one of the RIAs in 12 months. The role primarily supports activities and projects related to the regulatory compliance operations to help ensure the firms’ business activities are conducted in accordance with all applicable laws and regulatory requirements.

Our ideal candidate will have expertise in regulatory compliance frameworks applicable to private funds and investment companies, and the ability to adapt to evolving legal and regulatory landscapes.

What would your role be?

Provide compliance support and oversight of the firms’ investment advisory businesses.

Develop, maintain, and implement compliance policies and procedures including the Compliance Manuals and Code of Ethics

Create, manage, and deliver ongoing periodic risk based and annual compliance trainings.

Support the execution of the annual 206(4)-7 review including monitoring, surveillance, testing, and compliance risk assessment

Prepare and coordinate regulatory disclosures and filings (Form ADV, Form PF, Form D, 13F).

Execute the anti-money laundering and sanctions policies and procedures.

Support the compliance review of marketing and sales materials (including Request for Proposals) for adherence with SEC marketing rules and regulations.

Prepare and complete periodic client compliance reports, certifications, and due diligence questionnaires.

Provide regulatory advice to business stakeholders and senior management on a wide variety of regulatory and compliance matters

Partner with colleagues in overseas offices on global projects impacting Vontobel’s businesses.

Maintain a strong understanding of industry trends and staying informed on regulatory events and changes.

What are we looking for?

Education : Bachelor's degree from an accredited institution required.

Minimum 8 years of compliance experience with an SEC registered investment adviser.

Excellent verbal and written communication skills, and the ability to communicate effectively with all levels of management.

Strong interpersonal skills including the ability to work in a team environment and collaborate effectively.

Strong working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940

Familiarity with the ERISA, CFTC and NFA rules and regulations a plus.

Familiarity with Compliance technology platforms and regulatory filing systems

Proactive with demonstrated ability to take initiative and work independently under limited supervision.

A result driven professional who thrives in an entrepreneurial environment

Highly organized and detailed oriented with the ability to manage multiple projects simultaneously with tight deadlines.

Proficient in Microsoft Office Suite.

Important to know

The salary range for this role is $180,000 - $230,000 in base pay (exclusive of bonus or benefits above and beyond the base pay). Base pay offered will be determined on a case-by-case basis considering your experience, skills, training, and education amongst other things. This role is based out of our New York location.

Why Vontobel?

At Vontobel, you are building better futures for our clients and society, as well as for yourself. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability.

Our diverse team values unique perspectives, and we hire individuals determined to deliver in a dynamic and changing world. Even if you don’t meet all the criteria, we encourage you to apply if you’re enthusiastic about the role.

Do you want to be Vontobel?

Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.

At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.

We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.

If you have any questions you can contact us through our .