The client is seeking a pragmatic, hands-on Legal & Compliance Director to oversee the Legal & Compliance department. The role will design and execute the legal and compliance strategy, maintain governance controls, and oversee regulatory incident tracking and remediation. You will also lead AML and KYC for client and investor onboarding, including sanctions screening, transaction monitoring, and escalation processes for suspicious activity.
You will ensure end-to-end regulatory compliance with Swiss FINMA requirements and coordinate governance related to fund structures, including fund structuring activities. As a trusted legal and commercial advisor, you will draft and negotiate distribution and trading agreements and other documentation and commercial contracts. You will further drive legal strategy and execution for fundraising initiatives, leading investor negotiations and supporting the conversion of prospective investors.
In addition, you will oversee cross-border distribution and marketing controls, including EU distribution rules, target market/suitability assessments, and review of marketing materials. The role also includes acting as the main point of contact for regulators, auditors, and external counsel, managing regulatory interactions and audits. The successful applicant will typically have a university degree in Law (with further education an advantage), experience in legal and compliance roles within asset management or private equity, practical exposure to Luxembourg fund structures and Swiss FINMA regulation, strong drafting and negotiation capabilities, leadership experience managing small teams, excellent stakeholder management skills, and fluency in German and English.