Are you accomplished senior compliance officer ready to take on a high-impact leadership role? Consider this exciting opportunity to shape and lead a cross-border compliance function, navigate multi-jurisdictional regulatory complexities and lead a dynamic compliance team.
We are seeking a Chief Compliance Officer (CCO) for Vontobel Swiss Financial Adviser AG (“SFA”) in Zurich. SFA is a dual-regulated U.S. registered investment adviser and Swiss securities firm.
The CCO will act as a strategic advisor to senior leadership and lead the execution of SFA’s consolidated compliance program. The role focuses on strengthening our Swiss compliance framework while working in close partnership with the SFA Head of U.S. Compliance to ensure consistent alignment with U.S. regulatory requirements.
Key responsibilities include:
Overall responsibility for leading SFA’s integrated US registered investment adviser and Swiss securities firm compliance program.
Close partnership with the SFA Head of U.S. Compliance and team to ensure alignment and consistent execution of FINMA and SEC compliance frameworks.
Oversee the design and implementation of compliance policies and procedures including:
Fiduciary, standard of conduct, conflicts of interest matters.
Product governance, sales practices, and marketing activities.
Client lifecycle management and financial crime compliance.
Investment management/advisory, trading, and transactions.
Oversight of SFA’s supervisory control framework including risk assessments, monitoring, surveillance and periodic testing.
Management of regulatory relationships and engagements with Swiss regulators and auditors.
Management and development of the Zurich-based SFA Compliance team.
Provision of clear, practical, and strategic compliance advice and reporting to senior leadership and internal governance bodies.
Monitoring of regulatory developments in Switzerland, the U.S., and internationally, with timely implementation of changes.
Driving and fostering a strong compliance culture through training, guidance, and proactive engagement.
Minimum 10 years of relevant compliance experience within a bank, asset manager, securities firms, or financial services.
Prior experience in a senior compliance leadership role such as Head of Compliance, CCO, or Deputy CCO preferred.
Strong and proven expertise with FINMA regulatory frameworks, including client lifecycle management and financial crimes compliance (CBD Rules, AML/KYC, Sanctions, Anti-Bribery and Corruption).
Working knowledge of US rules and regulations for SEC registered investment advisers.
Proven leadership and people management skills.
Strategic mindset with excellent risk assessment and problem-solving capabilities.
Excellent communication and stakeholder management skills.
Fluent English required (written and spoken); German a plus.
Top Zurich location with collaboration spaces (including rooftop terraces) and free lunch.
Friendly, diverse team in an open-office space.
All the latest technology to help you excel and advance.
Agile environment in how we think, the way we work and our trust for each other.
Flat hierarchy with collaboration at all levels.
Campus feeling and a collaborative spirit.
We are looking for talented people, not just a CV that ticks all the boxes. Even if you do not have absolutely everything we have asked for, if this role sounds like a good fit for you, we encourage you to apply.
At Vontobel, you are building better futures for our clients and society, as well as for yourself. By 2030, we want to be known as one of the leading and most trusted global investment firms. We have 2,300+ engaged professionals, based in 27 locations globally and headquartered in Zurich.
We are both majority family-owned and publicly listed. Our capacity for long-term focus, on topics such as sustainability, is underpinned by the security of the family’s 100-year commitment. Driven by an ownership mindset, you can unlock your potential and translate insights into opportunities. We are hiring talented individuals who are determined to deliver in a changing world and who come from a wide variety of backgrounds.
Do you want to be Vontobel?
Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.
At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.
We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.
If you have any questions you can contact us through our contact form
Vontobel is an international investment management firm with Swiss roots, providing investment, advisory and solution capabilities to private and institutional clients. With our investment-led approach that focuses exclusively on the buy-side of financial markets, we think and act purely from the client’s perspective – as an investor for investors.
This includes continually rethinking how to empower investors – something we have engaged in for over 100 years. Harnessing the power of technology allows us to deploy our investment expertise across multiple platforms and ecosystems, while aiming to offer an individualized and high-quality client experience.
Our conviction that successful investing begins with the assumption of personal responsibility means we focus on empowering employees to unlock their potential, take ownership of their work, and bring opportunities to life. We continuously scrutinize our achievements as we strive to exceed the expectations of our clients.
Important legal notice: This publication is deemed to be marketing material within the meaning of Article 68 of the Swiss Financial Services Act and is provided for informational purposes only. We will be happy to provide you with additional information about the specified financial products, such as the prospectus or the basic information sheet, free of charge, at any time.
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