Compliance Officer, Investment Management

Role: Risk & Compliance Officer Asset Management
Department: Risk & Compliance Asset Management
Start Date: asap
Location: Nyon (regular travel to Geneva and 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. The company has set up a Swiss subsidiary, based in Geneva to support a fast growing local customer base.

Kepler Unigestion SA is a newly formed partnership with CHF 3 bn in assets under management, between Kepler Cheuvreux and Unigestion. The new Company, based in Nyon, brings together Unigestion’s 30 years of experience in advanced portfolio management – which employs the latest artificial intelligence techniques and human expertise – with Kepler Cheuvreux’s extensive global research and distribution platform.
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 cover our two Swiss Asset Management, Ellipsis Suisse and Kepler Unigestion entities and 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
Provide expertise and advisory on compliance matters.
Maintain and improve the compliance framework (policies, procedures, guidelines).
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.
Support onboarding and KYC processes (level 2 controls, periodical review, onboarding of clients and counterparties).
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.

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.

Proven experience in compliance in AM environment (min. Fluent in English.
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!