COMPLIANCE OFFICER - NYON

DETAILS

• Role: Compliance Officer Asset Management
• Department: Risk & Compliance Asset Management
• Duration: permanent position
• Start Date: asap
• Location: Nyon (regular travel to Paris)

With more than 20 years of investment management experience and €9.6 billion in assets under management (as of April 30, 2026), Ellipsis AM is a recognized asset management firm specializing in convertible bonds, absolute return credit, options-based risk mitigation strategies and liquid alternative strategies.

TASKS

We are looking for a Compliance Officer with proven experience in compliance advisory and controls in the AM industry (including: investor protection, product governance, AML, Sanctions). The position will also cover Corporate secretary tasks.

1/ Swiss AM entities (Ellipsis AM and KeplerUnigestion AM) compliance scope (80%)

• Provide expert compliance advisory.
• Monitor and maintain regulatory compliance for Swiss AM businesses.
• Develop, implement, and perform second-line compliance controls.
• Conduct and update risk mapping and support remediation plans where needed.
• Maintain and improve the compliance framework (policies, procedures, guidelines).
• Support onboarding and KYC processes (level 2 controls, periodical review, onboarding of clients and counterparties).
• Participate to client due dill process on the company.
• Oversee cross border sales.
• Deliver and update training programs for front‑office, Middle Office, sales and control teams.
• Collaborate effectively with internal stakeholders and elevate matters to group compliance management as appropriate.
• Manage reporting to company Management and Boards.
• Stay ahead of regulatory changes and market trends.
• Manage relationship with local regulator and auditors.

2/ Transversal AM activities for Ellipsis (20%)

• Perform controls with Permanent control plan framework.
• Support on KYC process.
• Provide back up capacity for compliance task in France.

PROFILE AND SKILLS

• Proven experience in compliance in AM environment (minimum 4-6 years).
• Strong knowledge of Swiss regulatory framework (CISA, FINSA, FINIA) and familiar with European framework (UCITS, AIFM, MIFID).
• Strong analytical mindset and capacity to translate regulation into operational practice.
• Excellent communication skills with the ability to interact confidently across business lines.
• Proactive, detail-oriented, and solution-driven approach.
• Fluent in English.

Please note that Ellipsis AM promotes equal opportunity. All applications will be given due consideration.