The Head Compliance Private Clients will oversee compliance activities for the wealth management division of a leading private bank with headquarters in Switzerland and operations across the European Union. This senior leadership role reports to the Head of Legal & Compliance Advisory and will lead compliance teams based in Switzerland and Germany and manage contractors in Italy and Dubai. The incumbent is responsible for both strategic guidance and business-as-usual (BAU) compliance functions, ensuring robust controls and fostering a culture of compliance within a global, dynamic environment.
Lead and develop compliance teams in Switzerland and Germany, promoting cross-border collaboration and implementation of the Group Compliance framework.
Provide expert advice on Swiss, EU, and international regulations impacting wealth management and structured solutions (e.g., FinSA/FinIA, MiFID II, PRIIPs, EMIR, SFTR).
Assess regulatory changes, advise Boards and senior management, and ensure policies, procedures, and cross-border activities remain compliant.
Act as compliance lead for structured solutions, including structured products, OTC derivatives, AMCs, tailored financing, and bespoke investment solutions.
Provide regulatory assessment on product governance and new product approvals.
Oversee compliance reviews of product documentation and marketing materials, ensuring accurate disclosures and adherence to suitability, investor protection, and cross-border rules.
Strengthen the compliance control framework through risk assessments, breach investigations, remediation, regulatory engagement, and reporting to senior management and authorities.
8+ years’ experience in senior compliance leadership within international private banking, with strong exposure to Swiss/EU regulations and structured products.
Deep knowledge of suitability, product governance, conflicts of interest, marketing compliance, ESG, inducements, and cross-border regulations.
Strong understanding of FinSA, MiFID II, PRIIPs, EU Prospectus Regulation, and structured solutions compliance requirements.
Proven ability to design and maintain compliance frameworks, including policies, controls, risk assessments, and monitoring programs.
Experience partnering with structuring, sales, and trading teams to deliver practical compliance solutions for complex transactions.
Strong leadership, integrity, analytical, and stakeholder management skills, with experience leading multi-jurisdictional teams.
Advanced degree in Law, Finance, or a related field.
Fluent in German and English; French and/or Italian are a plus.
Advanced degree in Law, Finance or a related field
Top Zurich location with collaboration spaces (including rooftop terraces) and free lunch.
Friendly, diverse team in an open-office space with dancing walls.
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. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability.
Our diverse team values unique perspectives, and we hire individuals determined to deliver in a dynamic and changing world. Even if you don’t meet all the criteria, we encourage you to apply if you’re enthusiastic about the role.
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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