Head of Investment Compliance Monitoring/Platform
Head of Investment Compliance Monitoring / Platform
Head of Investment Compliance Monitoring / Platform
Within our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all relevant restrictions and support various internal stakeholder on related topics and processes.
Make sure to apply quickly in order to maximise your chances of being considered for an interview Read the complete job description below.
What would your role be?
Lead a team of experienced Investment Compliance professionals :
- Leading a team of experienced professionals in charge of the daily monitoring of all supervised portfolios
- Leading a team of experienced professionals in charge of the system coding, maintenance, enhancements of our platforms
- Breach case investigation, classification (active or passive) and impact calculation (profit & loss) as required. Notification, reporting and escalation of breaches to portfolio management, Compliance, and management companies.
Case follow-up and periodical reporting to our main stakeholder within the company.
- Funds (LUX UCITS, CH, DE, AT, IT and US regulatory environments).
- Swiss and international institutional discretionary mandates (e.g., BVG / BVV2.
- Discretionary and advisory Private Client mandates (SBVg.)
- Global exposure, concentration, liquidity, counterparty, and collateral limits.
- Further improvements and enhancements of monitoring processes
- Coding, development and maintenance of risk control and investment guideline monitoring systems (Charles River, Avaloq) and processes.
Automation and centralization of investment guideline monitoring process, in collaboration with IT-Development.
- Feasibility analysis, definition and sign off of client and internal investment guidelines with process owner and other stakeholder.
- Parametrization and maintenance of client, prospectus, legal and / or regulatory restrictions as applicable by contract, prospectus, or domicile.
- User acceptance phase testing and validation of investment guideline calculation algorithms
- Maintenance and enhancement of guideline monitoring applications (Charles River, Fund Designer).
- Maintenance and enhancement of analysis tools and reporting applications (Tableau, internal Solutions).
- Specification of projects and enhancements to streamline guideline monitoring processes, applications, and tools.
What are we looking for?
- Proficient in monitoring investment guidelines across diverse regulatory environments and implementing coding for mandates and funds in different monitoring systems, alongside familiarity with various risk measurement methodologies.
- Knowledgeable in portfolio management, possessing in-depth knowledge of financial products and instruments, coupled with expertise in maintaining and enhancing investment restriction systems, notably Charles River and Avaloq and monitoring modules.
- General IT affinity and programming skills (e.g., Access, VBA).
- A structured and independent team-player with high quality standards.
- Experience in leading professional monitoring teams
- Fluency in English and German. Knowledge of French or Italian would be an advantage.
What do we offer?
- Friendly, diverse team in an open-office space with dancing walls.
- All the latest technology to help you excel and advance.
- Agile environment in how we think, the way we work and our trust for each other.
- Flat hierarchy with collaboration on all levels.
Your application
Please include an additional 1-page letter outlining your motivation for applying and your experience with the points mentioned in this ad.
At Vontobel, you are building better futures for our clients and society, as well as for yourself. By 2030, we want to be known as one of the leading and most trusted global investment firms.
We have 2,300+ engaged professionals, based in over 25 locations globally and headquartered in Zurich.
We are both majority family-owned and publicly listed. Our capacity for long-term focus on topics such as sustainability is underpinned by the security of the family’s 100-year commitment.
Driven by an ownership mindset, you can unlock your potential and translate insights into opportunities. We are hiring talented individuals who are determined to deliver in a changing world and who come from a wide variety of backgrounds.
Do you want to be Vontobel?
J-18808-Ljbffr
Head of Risk Assessment, Monitoring and Testing, and Regulatory Change Management - MD
The Head of Risk Assessment, Monitoring and Testing, and Regulatory Change Management is a crucial role within the Compliance Department, reporting directly to the Head of Corporate Compliance. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers ...
Platform Specialist Head of Industry, RMG
The Platform Specialist Manager will manage a team of Platform Specialists, helping them grow, develop and continue to build their book of business. The Platform Specialist team are critical to the continued growth and success of our business and this is an incredibly exciting opportunity to manage ...
Head of Retail Compliance
BitGo is looking to hire a dynamic Head of Retail Compliance who will report directly to our Chief Compliance Officer. Understanding of the current and evolving landscape of regulatory compliance and risk management for global financial technology and crypto companies. This is a great opportunity fo...
Head of global credit and convertible bonds
Posted byManaging PartnerA renowned investment firm is looking for an Head of global credit and convertible bonds to report to their CIO function. In-depth understanding of all areas of markets and investment processes. Keep track of and clarify PnL and performance to upper management. Understanding...
Chief Compliance Officer & Head of Regulatory.
The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Provide practical legal guidance to the business on regulatory matters loc...
Head of Risk Assessment, Monitoring and Testing, and Regulatory Change Management - MD
The Head of Risk Assessment, Monitoring and Testing, and Regulatory Change Management is a crucial role within the Compliance Department, reporting directly to the Head of Corporate Compliance. Leadership of Key Teams: Direct and oversee the activities of the Compliance Risk Assessment, Monitoring a...
Head of Product Compliance
Head of Productpliance - North America. We're looking for a Head of Productpliance to join our growing Product team here in North America, our largest and fastest growing market. Wise Products (including Wise Platform , our payment infrastructure offer);. Have a deep understanding of our product and...
Head of Private Credit Compliance
This role will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys. The Head of Private Credit Compliance will support and provide leadership to Wellington Management...
Head of North Asia Sales, Software and Regulatory Compliance
Head of North Asia Sales, Software and Regulatory Compliance. We are seeking a dynamic and experienced professional to lead our sales efforts for the North Asia region, focusing on our suite of software and regulatory compliance products. The ideal candidate will have a proven track record in sales ...
Head of Compliance ANZ
The Head of Compliance ANZ is responsible for the implementation, management and oversight of the Australia and New Zealand to ensure that the Australian and New Zealand businesses comply with all local regulatory requirements and Assurant Corporate Compliance programs. Inform the Head of Compliance...