Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.
What you will do
Compliance Advisory and Case Management
- Provide clear, practical and risk-based compliance advice to Front Office, management, Operations and other functions across the principal compliance domains.
- Perform compliance reviews for account openings, periodic reviews and material changes to client relationships, with particular attention to higher-risk clients and complex structures.
- Prepare documented assessments and recommendations for submission to the Head Compliance, the AML specialist unit or the relevant committee, as applicable.
- Contribute to the effective operation and improvement of financial-crime controls, procedures, management information and remediation activities.
Regulatory Compliance, Conduct and Business Advisory
- Advise on cross-border compliance, investor protection and suitability, market conduct, conflicts of interest and related client-facing activities.
- Perform or support controls concerning personal account dealing, gifts and entertainment, employee conduct, anti-bribery and corruption, and other assigned compliance topics.
- Provide compliance input on new products, services, client propositions, projects, process changes and system developments within the scope assigned by the Head Compliance.
- Monitor relevant legal and regulatory developments, assess their potential impact, support implementation and maintain assigned regulatory change records.
- Draft and update compliance policies, procedures, guidance, risk assessments and management information, subject to appropriate review and approval.
- Develop and deliver compliance training and awareness activities and respond to follow-up questions from employees.
Monitoring, Assurance and Remediation
- Plan and perform assigned risk-based compliance monitoring activities and thematic reviews, including scoping, testing, documentation and reporting of findings.
Reporting, Projects and Team Contribution
- Prepare concise and accurate compliance reports, dashboards, committee papers and case summaries for review by the Head Compliance.
- Lead or contribute to assigned compliance projects and process improvements, including collaboration with IT and data stakeholders on system requirements, testing and reporting.
- Share knowledge and provide subject-matter guidance to colleagues while remaining accountable for the quality and timely completion of assigned work.
- Typically 5-8 years of relevant compliance experience, preferably in Swiss private banking, wealth management or a comparable regulated financial services environment.
- Sound knowledge of the Swiss legal and regulatory compliance framework, with practical experience in several of the following areas: AML/KYC, sanctions, transaction monitoring, cross-border compliance, suitability and client protection, market conduct, compliance monitoring and regulatory change.
- Experience conducting and documenting risk-based reviews, analysing complex facts, identifying material issues and producing clear recommendations for senior review or committee consideration.
- Ability to work independently within agreed authority, manage competing priorities, exercise sound judgement and elevate matters appropriately.
- Strong communication and stakeholder-management skills, with the ability to explain complex requirements clearly and provide practical challenge in a constructive manner.
- Good affinity for systems, processes, data, controls and reporting; experience supporting system or process change is an advantage.
- Fluent German and English; additional languages are an advantage.
We Recognise Potential, Whoever You Are
Our purpose is to deliver excellent investment performance to clients through active management.
We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs.
- Job Category Risk Compliance Audit
- Posting Date 10/02/2026, 12:16 PM
- Advertised Salary Competitive
- Employment Type Permanent
- Strategic Hire Yes
- Collective Bargaining Agreement Not Applicable
Compliance Officer, Investment Management in Zürich Arbeitgeber: Schroders
Schroders in Zürich bietet eine hervorragende Arbeitsumgebung, die auf Inklusion und langfristigen Erfolg ausgerichtet ist. Als Operational Risk Strategy Lead profitieren Sie von einem unterstützenden Team, das Ihre berufliche Entwicklung fördert und Ihnen die Möglichkeit gibt, Ihre Fähigkeiten im Bereich Risikomanagement weiter auszubauen. Genießen Sie zudem die Vorzüge einer dynamischen Stadt, die sowohl berufliche als auch persönliche Lebensqualität bietet.
