SEC Compliance Officer
Core
Oversees SEC compliance programs and Swiss regulatory compliance for a firm serving dual-registered US and Swiss investment advisors.
Role type
Senior IC compliance officer
Builds
SEC compliance framework, policies, and procedures for US and Swiss regulated entities
Domain
Financial services / Asset management / Regulatory compliance
Required skills
US SEC regulations expertise, Swiss regulatory framework knowledge (FINIA, FINSA, AML, CISA), Form ADV filing, audit management, policy development, training program design, conflict of interest management
Preferred skills
German language fluency
Technologies
None stated
Responsibilities
Monitor and maintain the SEC compliance framework and written policies; oversee adherence to the US Investment Advisers Act of 1940; lead annual Rule 206(4)-7 compliance program reviews; manage and coordinate SEC audits and regulatory inquiries; review and maintain regulatory filings including Form ADV; ensure compliance in marketing, custody, cybersecurity, personal trading, and recordkeeping; monitor regulatory developments; develop and conduct compliance training; manage personal account transaction processes; update code of conduct and compliance manuals; support Swiss regulatory compliance (FINIA, FINSA, CISA, AMLA, AMLO, CDB 20)
Seniority
Senior, hands-on IC