Compliance Officer – Market Regulations & Best Execution 80–100% (f/m/d)

Job description

Tasks

• Advising sales staff and account managers on all sales-related compliance matters, including foreign exchange and precious metals
• Responding to compliance inquiries regarding market regulations and best execution, including those made by regulatory authorities and counterparties (e.g., banks, brokers, ICSDs/CSDs, custodian banks, trading venues)
• Contribution to the development of global minimum standards by drafting guidelines, manuals, and handbooks, and by defining or implementing global minimum controls and monitoring activities
• Conducting in-depth reviews of existing processes to identify potential risks and opportunities for efficiency improvements
• Proactively collaborate with internal stakeholders and governance bodies through effective communication to maintain and improve the company's market regulation and best execution framework
• Collaborate with other subject matter experts within Global Compliance, the Legal Department, and the CRO unit in evaluating complex or cross-functional cases
• Supporting key business initiatives related to market regulations and best execution, and conducting regular training sessions to ensure sustained risk awareness throughout the company

Requirements

• University degree or equivalent qualification from a higher technical college in business administration, economics, or (business) law; additional qualifications (e.g., postgraduate studies in compliance or risk management) are an advantage
• In-depth knowledge of Swiss and European financial market regulations, in particular MiFID II, MAR/MAD, FinSA, and FMI; familiarity with financial market regulations in Asia, the UK, or the US is a strong asset
• Professional experience in compliance or internal audit in a banking environment is essential, preferably in trading floor compliance or related risk functions; a solid understanding of banking operations and trading products is highly desirable.
• Strong communication skills combined with personal assertiveness; ability to work independently while also being a collaborative team player

We offer