Head of Risk & Compliance - Asset Management

  • competitive
  • Geneva, Geneve, Switzerland Geneva Geneve CH
  • Permanent, Full time
  • Finders SA
  • 23 Apr 18 2018-04-23

A rare opportunity within asset management in Geneva for an experienced risk and compliance specialist


This is a client that Finders have worked with for many years and know extremely well, giving peace of mind for candidates when applying via Finders. 

Specialising in the bonds market, our client is a family run independent investment management company, a leader in their field and long-established in Geneva. They currently manage a range of bond funds as well as private client discretionary accounts.  They offer a close-knit team working environment as well as a more human-sized organisation where you can have a real impact on the business as well as a lot of visibility. 


Reporting to the Executive Commitee and working closely with the business, this is a broad and varied role as head of compliance and risk within a small structure where you will have huge scope and a key impact on the business. 

Your role will include, but not limited to:


  • Function as the head of compliance and MRLO
  • Implementation of procedures as well as supervision of operations to ensure an execution  in line with the regulatory expectations of FINMA, OAR-G, MIFID II, UCITS V
  • Negotiations with FINMA (with the assistance of legal counsels and central banks)
  • Preparation and follow-up of the audits
  • Supervision of operations and verification of Best Execution of transactions as well as verification that all transactions are covered by and in compliance with contracts
  • Update of Portfolio Management Contracts with customers
  • Ensure that investor profiles of private clients are completed
  • Participation in customer interviews, preparation of visit reports
  • Pre-trade controls
  • Preparation of the compliance reports to be presented at each Board of Directors meeting 



  • Verification of the correct execution of the Risk Management Process
  • Supervision of risk management and completion of risk matrices and taking of decisions accordingly
  • Risk Management of investment funds
  • Risk Management regarding the management of private client portfolios
  • Development and updating of the analysis reports necessary to the review of investment risks 
  • Relationship with external parties (the fund sponsor, brokers, custodian banks, intermediaries) in relation to risk assessment for investment operations
  • Daily collaboration with Fund Managers, Front Office and Back Office
  • Insurance of Business Risk Management of fund activities according to the restrictions imposed by the prospectus
  • Monitoring of Swiss and European legislation and regulatory developments affecting the company's activities
  • Participation at the Investment Committee to monitor investment decisions
  • Preparation of risk reports to be presented at each Board of Directors meeting 


Other Responsibilities:

  • Participation in training courses and seminars
  • Administration and supervision of mandataries for compliance & risk management
  • Participation in the improvement of procedures and contribution to the development of the company's IT tools using the system and identifying the possible needs


  • Minimum 10 years' experience in compliance and/or risk management related to funds and asset management. 
  • Swiss-qualified lawyer
  • Those from private banking also considered, provided strong bonds and funds experience as relates to compliance and risk
  • Excellent knowledge in compliance (CISA and LBA) and overview of Swiss and European legislation
  • University degree in law and a postgraduate education in relation with compliance and risk management
  • Advanced knowledge in investment fund / bond management (high yield bonds included)  
  • Bilingual - English/French
  • At ease in a small structure with a flat hierachical structure, hands-on/muck-in approach
  • Strong communication skills and an ease facing off to a variety of internal/external stakeholders
  • Strong IT skills - MS office etc
  • Swiss residence a must