Risk / Regulatory Compliance Officer

LEVA is building a cutting-edge software ecosystem for private markets, integrating essential services such as legal, financial, and tax accounting within a single operating system. Our mission is to improve the efficiency of the private markets which have not experienced innovation in the past 30 years and are still related to outdated processes. The venture capital industry is where we started, working with leading venture capital firms, family offices, asset management firms and emerging managers, but 2025 is a transformative year when we will expand to multiple new asset classes.

At LEVA we are building the tools for a new breed of investors they need to fund the winners of tomorrow. If you are eager to be part of this change, join a fast-growing and innovative start-up and be part of the next growth phase.

A day in the life of a Risk / Regulatory Compliance Officer:

In this role, you're not just a guardian of regulations, but a steward of integrity in financial security. You work as an entrepreneur and are part of an international team of highly motivated and talented people. This is a challenging task, but your collaborative spirit and dedication drive you towards success, forging a path of innovation and excellence in compliance.

As a Risk / Compliance Officer you will:

Risk Tasks

- You will continuously evaluate business models in terms of their risk potential and work on the further development of our risk management strategies - from outsourcing to information security and data protection. 

- You will implement new methods for risk identification and management, develop and implement risk assessments and key risk indicators (KRIs) and optimize the internal control and compliance management system (ICS, CMS).

- You prepare regular risk management reports and carry out in-depth analyses to provide management and line managers with the necessary information on the risk situation.

- You develop and regularly update the risk and security guidelines, particularly in the areas of operational risk, information security and outsourcing.

- You plan and conduct training sessions to further sharpen the company's understanding of risk management and ensure that all employees are able to recognize the relevant risks and respond appropriately.

- You prepare the regulatory audit in the area of risk management and accompany it with your expertise to ensure compliance with all relevant requirements.

- You prepare well-founded bases and reports for decision-making for the Executive Board and the Board of Directors and thus contribute directly to the corporate strategy. 

- You will be involved in exciting projects and special tasks where you can contribute your expertise and ideas.

Compliance Tasks:

- Have a broad and deep understanding of Risk and Regulatory Compliance in the financial industries

- Conduct Know Your Customer (KYC) due diligence and Enhanced Due Diligence (EDD) and review financial and investment transactions to ensure adherence to regulation

- Client documentation collection, analysis, and driving the whole KYC/CDD/EDD procedure

- Actively participate in client onboarding calls

- Assist with compliance reviews, reporting, and the compilation of necessary documentation for internal and external examinations (e.g., audits)

- Track recurring issues, test new compliance releases, and assist with change projects and initiatives

- Draft and support the development of new processes to streamline operational efficiency

- Develop, implement, and maintain comprehensive compliance policies that align with applicable laws and regulation 

- Support on regulatory inquiries and collaborate with external counsel to address compliance issues

- Design and deliver training programs to educate employees at all levels on compliance procedures

Your qualifications:

Skills

- You have a professional work ethic

- Strong time management and work organization

- You show Initiative, ownership and the willingness to go the extra mile

- Strong knowledge of Swiss Legal AML and Regulatory environment, i.e. FinSa, FinIa, CBD, FINMA Circulars, etc.. 

- Familiar with international financing facilities, trust, and offshore vehicles etc. 

- Familiar with private equity, private debt and capital raising 

- Excellent attention to detail

- Strong problem-solving abilities

- Quick comprehension

- Effective Internet research skills and usage of third-party tools

- Proficiency in MS Office

- Familiar with standard GRC Tools (SwissGRC, Zazoon, etc.)

- Fluency in German and English mandatory; other languages are an advantage

Education and Background

- 5+ years prior experience with Risk and/ or Compliance and/or AFC/AML in the financial intermediary sector

- Master’s in law or economics of a Swiss University

- CAS in Risk and Compliance and/or admission to Swiss Bar is a plus

Some of the vast rewards working here

- young, diverse and inclusive community that fosters innovation and creativity

- Culture of belonging, where teammates are empowered to bring ideas to the table and act

- Full support and career-development resources to expand your skills, enhance your expertise, and maximize your potential along your career journey

- Opportunity for rapid professional growth in a dynamic work environment with the chance to directly impact the company’s success

- Hybrid flexible working model 

Application process

Are you our new Leva family member? Please submit your resume and cover letter outlining your motivation and relevant experience to Write an email. Only shortlisted candidates will be contacted.

Leva is an equal opportunity employer, and we encourage candidates from all backgrounds to apply.