Head of Compliance & Risk Management

About the job

GFO Portfolio Management & Consulting AG is an independent Swiss asset management company based in Zurich. Since its founding in 1998, the company has been personally led by the founder. As a FINMA-licensed asset manager, we specialise in discretionary mandates and develop customised investment solutions for our discerning clientele.

Our small, specialised team operates with flat hierarchies, short decision-making paths, and a high degree of personal responsibility. In this environment, an effective compliance and risk management function is of central importance: it ensures that regulatory requirements are not only met but consistently and practically implemented in daily business.

Do you feel at home in the world of financial intermediaries and have experience dealing with demanding private clients, regulatory issues, and internal control processes? Do you enjoy working independently, in a structured manner, and with a strong sense of responsibility?

We are looking for a

Head of Compliance & Risk Management (20 – 40%)

immediately or by arrangement.

This role offers an experienced professional the opportunity to assume an independent and responsible compliance and risk management function in a small, specialised company and to act as a competent contact person for management, the board of directors, and employees.

• Workload: 20 – 40%
• Workplace: City of Zurich
• Start date by arrangement, preferably before the end of 2026

Your tasks:

Compliance & Regulatory Oversight:

• Monitoring compliance with relevant regulatory requirements, especially FIDLEG and FINIG
• Ongoing observation of regulatory developments and implementation of necessary adjustments in internal processes, regulations, and directives
• Conducting and documenting compliance controls and following up on resulting measures

• Independent execution of periodic AML controls and complete documentation of audit results
• Review of compliance with legal and internal anti-money laundering requirements
• Identification, assessment, and documentation of findings as well as follow-up on resulting measures
• Assessment and escalation of suspicious cases and business relationships

KYC / Customer Due Diligence:

• Monitoring and control of compliance with KYC requirements during onboarding and throughout the business relationship
• Review of customer files including identification, beneficial owners, and risk classification
• Conducting and documenting periodic reviews and updates

Risk Management & ICS:

• Monitoring compliance with client investment guidelines (investment controlling) and reviewing portfolio risks
• Maintenance, implementation, and further development of the Internal Control System (ICS)
• Regular assessment and documentation of compliance and operational risks

Reporting, Audit & Governance:

• Preparation of the annual compliance and risk management reporting for management and the board of directors
• Coordination and support of audits by supervisory authorities and external auditors as well as follow-up on resulting measures
• Correspondence and communication with supervisory authorities and FINMA
• Advising on compliance and regulatory issues

Your profile:

• Education: Advanced education in law or specific further training in compliance (e.g. CAS Compliance Management / DAS etc.)
• Experience: At least 2-3 years of professional experience in compliance/risk management at a Swiss financial intermediary.
• Knowledge: Profound knowledge of Swiss financial market law (FINIG, FIDLEG, AML etc.). Good knowledge of EU regulations (e.g. MiFID II, cross-border regulations) is a clear advantage.
• Working style: Structured, precise, and independent working style with high integrity.
• Languages: Native German, fluent English, and French is an advantage.

What you can look forward to:

At GFO Portfolio Management & Consulting AG, you will find a varied and responsible role in a small, specialised environment. You will work closely with an experienced team and be the central contact person for compliance and risk management. The collaboration is characterised by trust, discretion, and short decision-making paths. We place great value on personal responsibility, a structured working style, and a good sense of the processes behind the scenes in a demanding client environment. In this role, you will make a significant contribution to the smooth daily business and the sustainable development of our company.

Interested?

We look forward to receiving your application!