Compliance Officer-Trading and Investments Compliance Officer-Trading and Investments …

Beyond Potentials
à Lausanne, Vaud, Suisse
CDI, Plein-temps
Dernière candidature, 29 sept. 20
Beyond Potentials
à Lausanne, Vaud, Suisse
CDI, Plein-temps
Dernière candidature, 29 sept. 20
Compliance Officer-Trading and Investments

Job Description

Our client is an Asset Management Company active across global and multi asset-class direct and indirect investments. Using prime technology and a highly experienced team of experts they are driving performance for their own account.

Your mission and contribution

As part of their development they are looking for a senior compliance professional with expertise in cross-asset trading and portfolio management.

As part of your key roles, you will be in charge of implementing a framework and monitoring regulatory risk limits and all other investment restrictions across funds and portfolios.

  • Following-up with Traders, Portfolio and Fund Managers
  • Reporting to the risk committee
  • Following up on corrective actions
  • Monitoring trading activities in line with market abuse regulations and internal and external guidelines and procedures (e.g. best execution, fair allocation) in Switzerland and in Singapore

As you will be part of a small and fast-growing structure you will be working in team on cross-functional projects.


  • Advanced degree, preferably in Finance
  • Between 4 and 10 years of experience in a Compliance Investments role in the trading or asset management industry
  • Strong knowledge of investments regulation (Best execution, market abuse, MIFID 2, FinSa...)
  • Ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such risk
  • Good knowledge in financial markets and products (equity, fixed income, derivatives)
  • Very good understanding of IT Tools
  • Confident advising and negotiating in English (the primary language for this role will be English); advanced level of French desirable
  • Analytical skills and excellent attention to detail
  • Good communication skills and gravitas
  • Ability to prioritise, and work both with urgencies and on long term projects

You will thrive in this organisation if you have

A pro-active, curious and entrepreneurial attitude

A team-player attitude with positive and open mindset

A strong adherence to the company values of Respect, Excellence, Honesty, Humility and Accountability


What’s on offer

The opportunity to join a well-established successful and sustainable asset management firm with a highly qualified and human sized team, while being challenged in a new role within a fast-paced organisation.

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