Head of Legal & Compliance

PLEION SA is headquartered in Geneva and is one of the leading independent asset managers in Switzerland regulated by FINMA with offices based in Zurich, Geneva, Bern, Sion, Nyon and Verbier. We are looking for our Head of Legal & Compliance 70% – 100%

Your role

  • Responsibility for the whole Legal & Compliance day-to-day business monitoring;
  • Responsible for the reporting tasks to the FINMA; ExCo, Board and External auditor;
  • Elaboration, maintenance, and review of the Firm’s internal rules (policies & procedures), supervision over implementation;
  • Management of KYC, client onboarding, and whole client lifecycle;
  • Ensure constant regulatory monitoring of the banking legislation in force, including in sanctions and embargoes;
  • Ensure compliance with all the applicable rules in the fight against money laundering and terrorist financing;
  • Cooperation and coordination with external providers, depositary banks and lawyers;
  • Review and/or preparation of contracts (NDA, service agreements, investment-related documentation, investor-related
  • documentation, finders agreement);
  • Identify and prevent legal and reputational risks;
  • Provide support and assistance to the Management and the Front;
  • Set-up of regulatory internal trainings;
  • Team management and supervision.

Your profile

  • Swiss Degree in Law or in Finance;
  • Minimum 5 years of legal or compliance experience in an External Asset Management company, in a Bank or in external financial audit;
  • Excellent knowledge of financial regulations, Swiss law, a CAS in financial compliance would be a plus;
  • Practical experience in FINMA and MROS reporting;
  • Reliable with a strong drive and proactive attitude;
  • High integrity with top ethical standards and independent spirit;
  • Team leader with strong organizational and project management skills;
  • Problem-solving and risk management capacity;
  • Fluent in French and English, German is a plus (excellent written and oral communication).

If you wish to fulfil your potential in an entrepreneurial and inspiring environment, we invite you to send your application by e-mail to
Marie-France Tischhauser, Head of Human Resources

mtischhauser@pleion.ch

PLEION SA

Rue François-Bonivard 12, 1201 Geneva
t +41 22 906 81 81, f +41 22 906 81 82

Rue du Centre Sportif 22, 1936 Verbier
t +41 27 329 06 83

Chemin du Midi 8, 1260 Nyon
t +41 22 906 81 50, f +41 22 906 81 51

Schauplatzgasse 9, 3011 Bern
t +41 58 404 29 41

Seidengasse 13, 8001 Zurich
t +41 43 322 15 80

Rue Pré-Fleuri 5, 1950 Sion
t +41 27 329 00 30, f +41 27 329 00 32

info@pleion.ch           www.pleion.ch

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