Legal Compliance Officer Responsibilities and Duties

Fulfill regulators’ reporting obligations complying with US markets, domestic and abroad.

Create internal database to support business.

Advise local and international units in compliance affairs.

Execute Swiss and international regulatory developments in asset management area.

Review and approve marketing materials for compliance.

Check products from legal and compliance perspective.

Exercise funds’ representative function.

Handle money laundering topics.

Coach employees for compliance.

Receive and direct compliance issues for investigation and resolution.

Develop, maintain and review policies for Compliance Program’s general operation to prevent improper, unethical and illegal conduct.

Develop and review Standards of Conduct to guarantee continuing currency and guide management and employees.

Collaborate with departments to direct compliance for investigation and resolution and consult with Corporate attorney to resolve complex legal compliance issues.

Handle rules, regulations and policy violation and review and suggest investigative procedures initiation.

Develop and monitor violation handling system.

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