Our client, a finance company in Geneva, is actively looking for a full-time permanent position a
Compliance & Risk Manager
Job Description:
Compliance
- KYC on existing clients: update of AML documents and structure charts
- KYC for new clients: prepare discretionary/advisory agreements and AML documents- Onboarding process
- Account opening process to follow with various custodians
- Subscription to Private Investment funds – filling out of subscription forms as well as KYC on investors
- Review KYC and due diligence documents for all clients once a year before the AML audit
- World-Check and Passport-Check, AML Risk Assessments for all clients once a year
- Onboarding process and due diligence documents of compagny to be provided to all custodians
- Update of the internal legal documents, processes, handbook and AML forms in collaboration with the external Attorney Office, when required
Risk
- Execute monthly controls of transactions (suitability and appropriateness) in line with LSFIN
- Monitor client investment restrictions are respected
- Follow-up anomalies
- Transaction monitoring: AML and sanctions (PEP)
- Regulatory controls on advisory mandates
Administration/Legal
- Prepare Board meetings (management updates on current business, financials, compliance, workload)
- Prepare compliance/risk reports for the Board
- In charge of the Company Secretarial for Compagny entities (structure charts, requisition Commercial Registry, minutes, KYC on shareholders)
- Follow-up and organize the AML training for all the staff in Geneva
Required Profile
- At least 5-7 years’ experience in compliance and account opening (trust, company structures, W8/BEN)
- Asset allocation, portfolio management and asset classes know how
- Good knowledge of LSFIN/LEFIN
- French and English, spoken and perfect written skills a must
- Strong organisational skills
- Able to work independently by taking initiatives and also being a fair team player
- Good Command of usual MS Office applications
Date de création : 06.10.2021
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