Risk & Compliance Officer - Nyon H/F Kepler Cheuvreux

DETAILS:

• Role: Risk & Compliance Officer Asset Management

• Department: Risk & Compliance Asset Management

• Duration: permanent position

• Start Date: asap

• Location: Nyon (regular travel to Geneva and Paris)

ELLIPSIS AM

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 Risk & 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 for both Swiss boards (Ellipsis Suisse and Kepler Unigestion AM). The ideal candidate will be both analytical and pragmatic, able to navigate complex compliance topics while supporting business teams and ensuring a robust control environment.

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

Advisory & compliance framework

• Ensure the set-up is compliant with the Swiss regulatory framework, in particular FinSA/LSFin, FinIA/LEFin, CISA/LPCC and AMLA/LBA, together with the related ordinances and FINMA circulars.

• Provide expertise and advisory on compliance matters.

• Oversee cross border distribution rules and sales activity.

• Maintain and improve the compliance framework (policies, procedures, guidelines).

• Stay ahead of regulatory changes and market trends.

Risk & Controls

• Develop, implement, and perform second-line compliance and operational risk controls taking into account specific swiss control framework requirements.

• Conduct and update operational risk mapping and support remediation plans where needed.

• Monitor outsourced activities and operate oversight through Second level set of controls on risk and compliance tasks delegated to Paris.

KYC & onboarding

• Support onboarding and KYC processes (level 2 controls, periodical review, onboarding of clients and counterparties).

• Participate in client due diligence process on the company.

Governance & reporting

• Manage reporting to company Management and Boards, participate in the Management Committee on compliance and operational risk matters as local representative.

• Manage relationship with the local regulator (FINMA) and auditors on compliance and operational risk matters.

• Escalate operational incidents and compliance/risk matters to local management, independently of the commercial line, and to group compliance management as appropriate.

Training

• Deliver and update training programs for Front Office, Middle Office, sales and control teams.

2/ Transversal AM activities

• On a case by case basis support Ellipsis France on Permanent control tasks and provide back up for compliance task in France.

• Oversight of KeplerUnigestion AM foreign subsidiaries (UK and Canada): functional oversight of local risk and compliance officer.

PROFILE AND SKILLS:

Required:

• Prior professional experience in Switzerland and strong knowledge of the Swiss regulatory framework (FINMA regulations, CISA, FINSA, FINIA).

• Proven experience in compliance in AM environment (min. 6/8 years).

• 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.

Nice to have:

• Familiarity with the European regulatory framework (UCITS, AIFM, MIFID, ...).

RECRUITMENT PROCESS:

Between 2 and 3 rounds of interviews: fit and technical questions.

You will need a flexible and creative approach to flourish in our international environment and succeed with our diverse client base.

If you possess these qualities and would like to be part of Ellipsis AM's story, then come and join us!

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

DETAILS:

• Role: Risk & Compliance Officer Asset Management

• Department: Risk & Compliance Asset Management

• Duration: permanent position

• Start Date: asap

• Location: Nyon (regular travel to Geneva and Paris)

Role: Risk & Compliance Officer Asset Management

Department: Risk & Compliance Asset Management

Duration: permanent position

Start Date: asap

Location: Nyon (regular travel to Geneva and Paris)

ELLIPSIS AM

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 Risk & 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 for both Swiss boards (Ellipsis Suisse and Kepler Unigestion AM). The ideal candidate will be both analytical and pragmatic, able to navigate complex compliance topics while supporting business teams and ensuring a robust control environment.

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

Advisory & compliance framework

• Ensure the set-up is compliant with the Swiss regulatory framework, in particular FinSA/LSFin, FinIA/LEFin, CISA/LPCC and AMLA/LBA, together with the related ordinances and FINMA circulars.

• Provide expertise and advisory on compliance matters.

• Oversee cross border distribution rules and sales activity.

• Maintain and improve the compliance framework (policies, procedures, guidelines).

• Stay ahead of regulatory changes and market trends.

Ensure the set-up is compliant with the Swiss regulatory framework, in particular FinSA/LSFin, FinIA/LEFin, CISA/LPCC and AMLA/LBA, together with the related ordinances and FINMA circulars.

Provide expertise and advisory on compliance matters.

Oversee cross border distribution rules and sales activity.

Maintain and improve the compliance framework (policies, procedures, guidelines).

Stay ahead of regulatory changes and market trends.

Risk & Controls

• Develop, implement, and perform second-line compliance and operational risk controls taking into account specific swiss control framework requirements.

• Conduct and update operational risk mapping and support remediation plans where needed.

• Monitor outsourced activities and operate oversight through Second level set of controls on risk and compliance tasks delegated to Paris.

Develop, implement, and perform second-line compliance and operational risk controls taking into account specific swiss control framework requirements.

Conduct and update operational risk mapping and support remediation plans where needed.

Monitor outsourced activities and operate oversight through Second level set of controls on risk and compliance tasks delegated to Paris.

KYC & onboarding

• Support onboarding and KYC processes (level 2 controls, periodical review, onboarding of clients and counterparties).

• Participate in client due diligence process on the company.

Support onboarding and KYC processes (level 2 controls, periodical review, onboarding of clients and counterparties).

Participate in client due diligence process on the company.

Governance & reporting

• Manage reporting to company Management and Boards, participate in the Management Committee on compliance and operational risk matters as local representative.

• Manage relationship with the local regulator (FINMA) and auditors on compliance and operational risk matters.

• Escalate operational incidents and compliance/risk matters to local management, independently of the commercial line, and to group compliance management as appropriate.

Manage reporting to company Management and Boards, participate in the Management Committee on compliance and operational risk matters as local representative.

Manage relationship with the local regulator (FINMA) and auditors on compliance and operational risk matters.

Escalate operational incidents and compliance/risk matters to local management, independently of the commercial line, and to group compliance management as appropriate.

Training

• Deliver and update training programs for Front Office, Middle Office, sales and control teams.

Deliver and update training programs for Front Office, Middle Office, sales and control teams.

2/ Transversal AM activities

• On a case by case basis support Ellipsis France on Permanent control tasks and provide back up for compliance task in France.

On a case by case basis support Ellipsis France on Permanent control tasks and provide back up for compliance task in France.

• Oversight of KeplerUnigestion AM foreign subsidiaries (UK and Canada): functional oversight of local risk and compliance officer.

Oversight of KeplerUnigestion AM foreign subsidiaries (UK and Canada): functional oversight of local risk and compliance officer.

PROFILE AND SKILLS:

Required:

• Prior professional experience in Switzerland and strong knowledge of the Swiss regulatory framework (FINMA regulations, CISA, FINSA, FINIA).

• Proven experience in compliance in AM environment (min. 6/8 years).

• 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.

Prior professional experience in Switzerland and strong knowledge of the Swiss regulatory framework (FINMA regulations, CISA, FINSA, FINIA).

Proven experience in compliance in AM environment (min. 6/8 years).

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.

Nice to have:

• Familiarity with the European regulatory framework (UCITS, AIFM, MIFID, ...).

Familiarity with the European regulatory framework (UCITS, AIFM, MIFID, ...).

RECRUITMENT PROCESS:

Between 2 and 3 rounds of interviews: fit and technical questions.

You will need a flexible and creative approach to flourish in our international environment and succeed with our diverse client base.

If you possess these qualities and would like to be part of Ellipsis AM's story, then come and join us!

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

Group key figures :

• 1st independent European equity broker

• 1st Equity Research coverage in Continental Europe

• 1st Country Broker and Research (Extel 2026)

• World's Best Broker (Euromoney Capital Markets Awards 2025)

• 14 major financial centres in Europe, US and the Middle East

• +650 employees

• +1'300 institutional clients

• EUR15bn of assets under management as of end-May 2026

1st independent European equity broker

1st Equity Research coverage in Continental Europe

1st Country Broker and Research (Extel 2026)

World's Best Broker (Euromoney Capital Markets Awards 2025)

14 major financial centres in Europe, US and the Middle East

+650 employees

+1'300 institutional clients

EUR15bn of assets under management as of end-May 2026