Investment Compliance Analyst

Major responsibilities:      

• Analysis and interpretation of fund contracts and investment guidelines
• Implementation of new products, fund regulations &investment guidelines within the investment compliance application
• Lead/help within the internal project for change to new strategical solution.
• Amendments of existing regulations and guidelines
• Support of the Investment Compliance reporting team
• Analysis, discussion & resolution of application/rules issues internally & with clients
• Participation in other projects related to investment compliance
• Documentation of rules & guidelines for audit purposes
• Independent execution of basic & advanced responsibilities of a compliance analyst in the investment compliance environment

Education, Experience and Skills:

• Commercial apprenticeship with minimum 1 year working experience in compliance or education within financial industry (for example AZEK/CAIA)
• Experience in a custodian bank or/and in portfolio compliance, investment controlling, risk- or asset management.
• Good understanding of the general investment environment, different investment instruments and markets.
• IT affinity
• Coding skills (VBA, SQL, Python) / Experience in MIG21 and/or Charles River (CRD) compliance is of advantage.
• Knowledge in the Swiss legal and regulatory environment (KAG/KKV/KKV-FINMA/BVV2)
• Fluent in German (written and spoken) and advanced knowledge of English
• Ability to work under pressure, prioritize, keep attention to detail
• Strong organizational, communication and analytical skills
• Team player strengths