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Senior Compliance Officer - Asset Management (100%)


Zurich, Switzerland
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Senior Compliance Officer - Asset Management (100%)


GAM is one of the world's leading independent, pure-play asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors.

Our core investment business is complemented by private labelling services, which include fund administration and other support services to third-party institutions. Together we share a common set of values rooted in teamwork, integrity, entrepreneurial flair and professional excellence.

Our employees are our most valuable asset. Being able to offer an attractive work environment where talented minds from various backgrounds are keen to work is key to the long-term success of our company. We firmly believe in the importance of maintaining the open culture of a small company, aiming to avoid bureaucracy and encouraging a flexible, accessible and hands-on working style across the Group. In turn, our people reward us with their loyalty.




Compliance - Switzerland

Main Tasks and Responsibilities

  • Track the regulatory development in the area of investment funds / asset management in Switzerland (e.g. FIDLEG / FINIG) and Europe (e.g. MiFID or GDPR)
  • Assess the impact of the aforementioned regulatory development on the GAM companies in Switzerland and derive tailor-made local policies, processes and procedures
  • Enforce and implement applicable regulations - by means of training, monitoring and reporting and in close cooperation with the business side, IT , Risk and local compliance officers across the GAM Group
  • Support the global Sales, Distribution and Marketing teams, e.g. by contributing to the development of global monitoring plans and acting as a key contact for distribution and marketing queries 
  • Conduct due diligence reviews on a variety of clients and business parties, e.g. distributor onboarding
  • Advise the GAM boards and the business entities on a large number of compliance topics (AML, conflicts of interest, data protection, outsourcing, cross-border activities, complaints management etc.)
  • Prepare and accompany external and internal audits

Qualifications/Work Experience

  • Degree in law / business administration or comparable education; FINIG/FIDLEG knowledge will be a substantial asset 
  • Several years of experience as a Senior Compliance Officer with a fund management company or in the area of institutional asset management and with topics such as Best Execution, SFAMA Code of Conduct or Market Conduct Rules
  • Excellent language skills in German and English

Personal Attributes

  • Pragmatic, active and solution-oriented mind-set, team-player, IT- affinity
  • Ability to simultaneously handle various projects and to additionally manage the daily work stream


GAM offers a comprehensive range of benefits and performance-based compensation, along with a variety of lifestyle and family benefits to promote well-being in and out of the workplace. These benefits vary according to local market conditions. Please contact the local Human Resources team for further details.

Employing Company/ies:

GAM Investment Management (Switzerland) AG

Reporting to:

Head of Compliance Continental Europe




Zürich / Geneva / Zurich, Switzerland / Geneva, Switzerland / Switzerland

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