Compliance Analyst – Regulatory Asset Management

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Symbiotics is the leading market access platform for impact investing in emerging and frontier markets, offering market research, investment advisory and asset management services. We are regulated by FINMA, the Swiss Financial Market Supervisory Authority and our daughter company Symbiotics (UK) Ltd has an investment firm license from the FCA in the UK. Symbiotics currently employs 160 people and is headquartered in Geneva, with further offices in Zurich, London, Amsterdam, Paris, Mexico City, Singapore and Cape Town. Since 2004, we have invested over USD 6.5bn in more than 490 microfinance institutions across around 90 emerging and frontier markets, working with more than 25 investment funds and many institutional investors.

We are a fast-growing, market-leading company, offering a dynamic work environment in the growing impact investment space. Our people are our biggest competitive advantage.

We believe that in order to recruit the best professionals all applications must be reviewed equally. For this reason, we will not require personal data such as photos, date of birth or gender to be included on CV applications.

Who we are looking for

You are an experienced Compliance or Legal expert who plays a leading role in ensuring alignment of the Company’s activities with the applicable legal and regulatory framework. You are proactive, with strong analytical, research and writing skills.

The position is based in our Head office in Geneva, within the Legal, Risk & Compliance division, with reporting line to the Legal and Compliance Manager.

About the Job
Handle day-to-day compliance tasks (including third party due diligence requests, investor AML/KYC, GDPR) related to the Company and its investment vehicles under management
Coordinate with the “Responsible du Contrôle” of the different investment funds on AML/KYC monitoring
Continuously monitor all regulatory developments relevant to the Company’s activities and ensure alignment with the Company’s organisation, operations and systems
Maintain the Company’s and the investment funds’ policy register and ensure continuous compliance of policies with the regulatory framework
Maintain compliance internal processes and identify risks or non-compliance throughout the company
Conduct compliance tests and audits as deemed required and suggest improvements and recommendations when appropriate
Perform monthly, quarterly and annual compliance controls and reports to management
Process compliance requests from regulators, auditors, internal and external stakeholders
Organise, develop and conduct compliance trainings to all employees
Support other functions on compliance-related matters
Review of products and services from a compliance perspective
Provide support with the preparation of annual prudential audit, as well as the implementation of follow-up measures
Support the Legal & Compliance Manager on all compliance and regulatory matters

Your Qualification

We are looking for a dynamic person who is rigorous, solution-oriented, autonomous and able to work in a challenging, international environment.

More specifically, you have the following skills and competence:

Master degree in law, or equivalent qualification and/or experience, ideally complemented by a degree in economics or finance
A minimum of 3-5 years experience, acquired in a compliance or legal function in the financial services industry
Experience in assessing the compliance implications of asset management activities, both under the Swiss regime and in foreign jurisdictions
Sound knowledge of Swiss and EU regulations pertaining to financial markets and financial services, supervisory laws (FINSA, FINIA, AIFMD, SFDR) and current developments in the asset management industry
Knowledge of asset management and investment funds processes, in particular in the areas of compliance, risk management, legal and audit
You are comfortable working in an international and multi-cultural workplace
You are adept and agile to perform in a fast-paced environment, and managing competing demands and priorities
You have excellent critical thinking skills and a high level of integrity and confidentiality
You have an interest in impact finance and/or sustainable development
You are able to work comfortably in both English and French. Other languages such as Spanish are an asset
Swiss/EU National or valid Swiss Work Permit is required

Job Offer
What makes us different?
The chance to contribute to improving the lives of people in emerging and frontier countries, to work towards supporting the UN Sustainable Development Goals
A flexible work environment with colleagues from 38 countries
The opportunity to become part of a growing business that pushes you to excel every day while having a positive impact on others