Compliance Advisory Officer

Job description: Compliance Advisory Officer

About the role

• Ensuring compliance with laws and regulations related to financial services and banking activities, including national requirements on a cross-border basis (e.g. FinSA, MiFID, MCAR, ESMA, FINMA circulars, FMA, etc.)
• Support various functions (Marketing, Product Innovation, HR & Talent, Research, etc.) in areas such as cross-border and regulatory compliance, new product approvals, marketing materials, market behavior, business operations
• Advising and supporting stakeholders on conduct, ethics and other compliance matters
• Improving the Bank's risk management framework by enhancing and implementing controls and related policies, directives and guidelines
• Continuous monitoring and assessment of developing risks, identification and assessment of perceived weaknesses and implementation of appropriate risk mitigation measures
• Lead process development projects from start to finish, including design, testing, rollout and implementation of processes and controls
• Drive risk assessment efforts, including those related to market behavior, cross-border activities and more
• Training all employees on laws and regulations as well as industry practices and ensuring the appropriate transfer of know-how
• Reporting and digitalization within the compliance team for internal and external stakeholders

Ideal candidate

• At least 5 years of extensive and practical experience in compliance in the Swiss and international financial services industry
• Functional knowledge in relevant legal and regulatory areas, e.g. FinSA, MiFID, MCAR, ESMA, FINMA, AML, KYC, CPD, BA and related FINMA circulars regarding regulatory risk, market conduct and reporting requirements
• Experience with successful implementation, design and realization of control test frameworks
• Degree in law, finance/economics, business administration or a related field; a degree is not essential if you have extensive relevant professional experience
• Comfortable working with diverse stakeholders, including senior management level members; ability to participate in and navigate difficult discussions
• Problem solving and proactive personality with mental flexibility to find pragmatic solutions that support the business with innovative products and business concepts
• Goal and results oriented, able to work with minimal guidance, follow up on ongoing tasks and deliver sustainable and workable solutions
• Team player with a sense of humor and positive attitude to contribute to the success of the bank
• Interest in the latest trends in compliance, the FinTech industry, crypto and blockchain

We offer