Head of Investment Compliance Monitoring/Platform
Within our Risk Control division, we are looking for a Head Investment Compliance Monitoring in Zurich. You will be part of an experienced and professional team whose responsibilities are ensuring compliance of the discretionary and advisory portfolios with all relevant restrictions and support various internal stakeholder on related topics and processes.
What would your role be?
Lead a team of experienced Investment Compliance professionals:
Leading a team of experienced professionals in charge of the daily monitoring of all supervised portfolios
Leading a team of experienced professionals in charge of the system coding, maintenance, enhancements of our platforms
Investment guidelines monitoring:
Breach case investigation, classification (active or passive) and impact calculation (profit & loss) as required. Notification, reporting and escalation of breaches to portfolio management, Compliance, and management companies. Case follow-up and periodical reporting to our main stakeholder within the company.
Funds (LUX UCITS, CH, DE, AT, IT and US regulatory environments).
Swiss and international institutional discretionary mandates (e.g., BVG/BVV2.
Discretionary and advisory Private Client mandates (SBVg.)
Global exposure, concentration, liquidity, counterparty, and collateral limits.
Further improvements and enhancements of monitoring processes
Coding, development and maintenance of risk control and investment guideline monitoring systems (Charles River, Avaloq) and processes. Automation and centralization of investment guideline monitoring process, in collaboration with IT-Development.
Feasibility analysis, definition and sign off of client and internal investment guidelines with process owner and other stakeholder.
Parametrization and maintenance of client, prospectus, legal and/or regulatory restrictions as applicable by contract, prospectus, or domicile.
User acceptance phase testing and validation of investment guideline calculation algorithms
Maintenance and enhancement of guideline monitoring applications (Charles River, Fund Designer).
Maintenance and enhancement of analysis tools and reporting applications (Tableau, internal Solutions).
Specification of projects and enhancements to streamline guideline monitoring processes, applications, and tools.
What are we looking for?
Proficient in monitoring investment guidelines across diverse regulatory environments and implementing coding for mandates and funds in different monitoring systems, alongside familiarity with various risk measurement methodologies.
Knowledgeable in portfolio management, possessing in-depth knowledge of financial products and instruments, coupled with expertise in maintaining and enhancing investment restriction systems, notably Charles River and Avaloq and monitoring modules.
General IT affinity and programming skills (e.g., Access, VBA).
A structured and independent team-player with high quality standards.
Experience in leading professional monitoring teams
Fluency in English and German. Knowledge of French or Italian would be an advantage.
What do we offer?
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 on all levels.
Your application
Please include an additional 1-page letter outlining your motivation for applying and your experience with the points mentioned in this ad.
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 over 25 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?
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