- Assume responsibility for the Compliance function within Vontobel Asset Management S.A. (VAMSA) in Luxembourg, covering UCITS and AIFM activities, and its branches in London, Paris, Milan, Madrid, and Stockholm, while serving as the Conducting Officer for Compliance & AML
- Take overall responsibility for the ongoing oversight and development of the firm’s Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) frameworks, including transaction monitoring, client due diligence, and ensuring the timely reporting of suspicious activities
- Maintain a robust and constructive relationship with key regulatory bodies, including CSSF, Fraud Investigation Unit (FIU), and CNPD, as well as with external and internal auditors
- Represent the Compliance function before VAMSA and fund Boards, as well as Executive Management
- Lead and develop a team of three experienced compliance officers and collaborate closely with Vontobel entities, including those at the Group’s headquarters in Zurich, to ensure alignment, operational consistency, and the effective implementation of our Group Compliance framework
- Ensure that critical compliance-related matters are appropriately escalated to senior management in a timely manner
- Oversee investigations of compliance breaches, manage remediation actions, and ensure proper documentation and reporting
- Identify and assess the impact of new or updated regulatory requirements applicable to the Management Company and provide clear and tailored advice to relevant Boards, senior management, and stakeholders within both VAMSA and the Vontobel Group
- Ensure that local Compliance policies and procedures are fully aligned with applicable regulatory requirements, best practices, and the Group’s standards, and communicate this effectively to staff
- Ensure regular delivery of compliance and AML/CTF training to all staff, promoting a culture of compliance throughout the organisation
- A minimum of 8 years of experience in a senior leadership role with a strong focus on regulatory compliance within a Luxembourg UCITS Management Company or in the investment fund servicing industry
- Extensive experience and deep knowledge in Luxembourg and European laws and regulations applicable to the asset management and/or investment fund industry, including the requirements set out in CSSF Circular 18/698
- Proven experience in designing, implementing, and maintaining robust compliance frameworks (incl. creating and implementing policies, procedures, controls and risk assessments)
- Strong sense of integrity and ethics, as well as organizational and analytical skills
- Recognized as a reliable and trusted partner by both first and second lines of defence, as well as by external service providers
- Provenn leadership skills, with a commitment to fostering the development and growth of team members and a strong collaborative teamwork
- Proficiency in French and/or German, as well as excellent verbal and written communication skills in English
- Degree in law, finance or economics (or a related field)
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 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?
