Head Legal, Risk & Compliance - Zug (100%)


Offered by:


Finance / Accounting

For the reinforcement of our headquarters in Zug and in line with regulatory requirements for Swiss asset managers we are looking for a senior, dedicated, dynamic, and team-oriented professional for the position of Head Legal, Risk & Compliance. In this role, the Head Legal, Risk & Compliance will pro-actively support and monitor all business areas in compliance matters, safeguard GWM’s reputation by guaranteeing that the company strictly follows legal, regulatory and compliance guidelines and give advice to management and internal stakeholders. The Head Legal, Risk & Compliance will further structure and provide legal support to management in connection with the real estate projects of the company.Duties and essential job function

  • Managing of regulatory questions and compliance matters in asset management as well as supporting relationship and investment managers on all ad-hoc compliance questions on the wealth management side;
  • Handling of day-to-day compliance tasks (including KYC, AML, client onboarding, cross-border regulations etc.), perform periodical compliance controls within the internal control system;
  • Modifying, drafting and implementing of internal policies;
  • Monitoring of regulatory developments in various jurisdictions and evaluate business implications and leading internal projects as well as setting up implementation concepts;
  • Managing and resolving legal issues in relation to the real estate projects of the company in Europe, including real estate financing using structured lending;
  • Negotiating and reviewing commercial contracts with customers and third-parties;
  • Handling of legal & compliance projects (new products, new cross-border markets, new business initiatives), development and improvement of various compliance and legal frameworks;
  • Controlling of reporting procedures and record keeping, development and revision of compliance processes and identification of hidden risks or non-conformity issues;
  • Supporting with processing of requests from regulators, auditors and internal stakeholders;
  • Arranging, developing and conducting of compliance trainings to all employees;
  • Reviewing of products and services from a compliance perspective;
  • Ensuring the coordination of legal disputes and/or litigation.

Skills, Kledge, and Experience

  • Master’s degree in law from a Swiss University or equivalent education abroad;
  • Second degree in Economics or Financial Markets is a clear asset;
  • Post-Qualification Experience of at least 10 years;
  • At least 2 years of experience at an international asset management or investment company;
  • Experience in international legal and consulting firms is an advantage;
  • Compliance-related experience in real estate financing, due diligence, development, and structuring of projects is mandatory;
  • Excellent command both orally and written of English and Russian languages is mandatory. German language skills are a plus;
  • Active interest and experience in national and international financial markets- and financial instruments;
  • Pragmatic, business- and detail-oriented approach with entrepreneurial attitude; 
  • A broad international network of related professionals is an advantage;
  • Ability to work in a fast-paced environment under time pressure and in flexible hours.

About GWM AGGWM is an independent multi-family office. Established more than a decade ago, GWM was founded on the notion of providing the highest quality and bespoke service for its clients in relation to all their banking, wealth management, immigration and real estate needs all over the globe. In an ever-changing investment landscape, our success is built on being flexible and adapting to a shifting environment. We build bridges between business, family, and wealth needs. Our size allows us to be personal, whilst giving clients access to the world.