Compliance Officer – Monitoring & Control Execution (Full-Time) (f/m/d)

Tasks

• Control Execution: Conducting regular compliance controls, with a primary focus on client suitability assessments and secondary coverage of pricing practices, the intermediary framework, and other defined risk areas
• Deficiency Management: Partnering with client-facing units to address control weaknesses through structured remediation workflows (using CLM Task Manager), including consultation and tracking of the resolution through to completion
• Reporting & Validation: Conducting thorough analysis and validation of control outputs and exception reports
• Stakeholder Collaboration: Participating in regular coordination meetings with Business Relationship Managers (BRMs) to discuss results, escalate issues, and promote accountability
• Audit & Regulatory Support: Serves as the primary point of contact during internal audits and external regulatory reviews, including the presentation of control design and performance
• Continuous Improvement: Translating operational insights into concrete recommendations for improving compliance processes, digital tools, and policy standards
• Policy & Training Contribution: Contributing to the development and updating of compliance policies and training programs

Requirements

• At least 5 years of experience in compliance, regulatory oversight, risk management, or a similar control function
• Solid understanding of client suitability rules and processes (e.g., MiFID II principles, internal CRM protocols)
• Familiarity with the core activities of private banking and the associated behavioral and operational risks
• Strong analytical skills with expertise in root-cause analysis and problem-solving
• Advanced knowledge of the Microsoft Office Suite, particularly Excel (pivot tables, lookups) and PowerPoint (executive presentations)
• A collaborative team player with initiative, emotional intelligence, and strong stakeholder engagement skills
• Proven communication and interpersonal skills for interacting with employees and stakeholders at various management levels
• Detail-oriented with excellent organizational skills; able to manage multiple deadlines in a fast-paced environment
• High personal integrity, discretion, and adherence to ethical standards
• Resilient and solution-oriented, with the ability to work accurately under pressure
• Fluent English (written and spoken); knowledge of other languages is a plus

We offer