Compliance Officer, Finance & Banking

Location: Zürich

Location:

Zurich, Switzerland | Signet Capital Management Group

Signet Capital Management Group is looking for an experienced and driven Compliance Officer to join our Swiss office.

This is an important role within our growing international wealth and asset management business, offering the opportunity to take ownership of key compliance functions, contribute to the development of our Group-wide compliance framework and work closely with senior management across multiple jurisdictions.

We are looking for a professional with strong knowledge of the Swiss regulatory environment, a practical understanding of banking and financial markets, and the ability to translate complex regulatory requirements into effective business processes.

YOUR RESPONSIBILITIES Swiss Regulatory Compliance & AML

• Act as the designated internal Compliance and AML contact for the Swiss entity, with responsibilities allocated in accordance with applicable FINMA requirements and the firm's regulatory framework.
• Monitor compliance with applicable Swiss financial market legislation, FINMA regulations, supervisory requirements, relevant SRO rules and internal policies.
• Maintain and further develop the Swiss compliance framework, ensuring appropriate implementation of regulatory requirements.
• Oversee the implementation and effectiveness of AML/CFT controls, including client due diligence, KYC, beneficial ownership verification, source of funds and wealth assessments, transaction monitoring and escalation of suspicious activities.
• Coordinate AML investigations, ensure appropriate internal escalation and support the preparation and submission of suspicious activity reports to the competent authorities, where required.
• Conduct periodic compliance and AML risk assessments and oversee the implementation of appropriate mitigating measures.
• Support regulatory reporting, compliance monitoring, internal audits and regulatory inspections.
• Monitor regulatory developments and assess their impact on the business, translating requirements into practical policies, procedures and controls.

Employee Compliance & Market Conduct

• Conduct daily monitoring of personal account transactions executed by employees.
• Review potential breaches of employee dealing policies, manage investigations and coordinate appropriate sanctions and escalation.
• Assess insider monitoring alerts and maintain Insider, Restricted and Watch Lists.
• Establish and maintain confidentiality areas and information barriers.
• Coordinate the reporting of management transactions to SIX, where applicable.
• Support the implementation of Group-wide standards relating to employee transactions and market conduct.

Governance, Policies & Group Collaboration

• Act as a central point of contact for complex compliance matters, providing practical guidance to management and business teams.
• Prepare, review and implement compliance policies, guidelines, procedures and manuals.
• Support the development and monitoring of the Group compliance framework, including coordination across international offices and entities.
• Lead or contribute to compliance-related projects, including regulatory change management, process digitalisation and operational improvements.
• Design and deliver compliance and AML training programmes for employees.
• Continuously challenge existing processes and identify opportunities to improve the effectiveness and efficiency of the compliance function.
• Provide expert support to Compliance colleagues across the Group and contribute to a strong culture of integrity, accountability and regulatory discipline.

YOUR PROFILE

• University degree in Law, Finance, Economics or Business Administration.
• Minimum 5 years of relevant experience in Compliance within the Swiss banking, wealth management or financial services…