Compliance Officer, Italy, Full-Time (m/f/d)

Job description

This role serves as a compliance assistant within the entity in connection with Italian spot brokerage financial regulations and participates in the performance of routine compliance tasks as part of a team focused on the overall conduct of financial regulatory audits and the provision of expert support related to regulatory changes.

Your profile

• Bachelor’s degree in law or a B.Sc. with comparable professional experience in wealth management (a good knowledge of banking law, the Financial Market Supervision Act, the Money Laundering Act, the revised Market Act for the DACH region (Germany, Austria, and Switzerland), Reg. p. 402, the Financial Services and Markets Act (FSMA) of 2000, etc., are advantageous)
• They are dedicated and committed to high performance and quality
• Your drive will underpin the outstanding achievements and results you’ll accomplish
• You are a self-starter and perform at your best when given the opportunity to do so
• Proven track record
• A professional eye capable of implementing and carrying out changes with a direct and service-oriented approach
• Ability to work under high self-imposed pressure
• Ability to communicate with customers at all levels and to establish and maintain business relationships
• Understanding that customers and loyalty are a priority
• Strong presentation skills
• You are committed to learning and implementing our compliance and office procedures

Professional and technical requirements

• Ensuring compliance with the law, drawing on extensive knowledge of (e.g., its provisions and future compliance concerns)
• Implementation of Compliance Rules and Procedures
• Investigation of Internal Violations at FSMA
• Detailed knowledge of investment services regulation, with a particular focus on the FSA regulatory framework
• Expertise in dealing with regulatory bodies and representative bodies
• Project management experience in accelerating project delivery

Compliance Areas of Activity

• We are looking for someone who is willing to start with a 2.8% management fee for compliance-related waivers
• Overall management and independent review of the effectiveness of the entity's own compliance and risk management system and internal risk controls in general
• Risk, Compliance, Regulatory, and Market Surveillance
• Reviewing all primary and secondary regulations to identify areas of potential business impact, and evaluating and reporting on proposed new business practices in my capacity as a regulatory advisor
• Assisting the FCA in its reviews of regulatory changes with regard to their entity-wide impact and in cross-border regulatory and cooperation matters
• Participation in the processes of the new regulatory agencies as a regulatory advisor
• Responsible for drafting and conducting working meetings with law firms, as well as for internal reviews of legal documents

compliance program

• Implement and maintain an efficient compliance process in accordance with the global Julius Baer Compliance Program (FCA & EU regulations). The framework for managing new compliance concerns should be developed and agreed upon in consultation with Compliance.
• As needed, you will be responsible for evaluating and developing the internal compliance unit and for providing the “