Compliance Officer – Monitoring & Control Execution 80–100% (f/m/d)

Job description

We are looking for a highly organized and proactive Compliance Officer to join our Central Compliance team in Zurich. In this role, you will be responsible for implementing and improving second line of defense (2LoD) monitoring controls to ensure robust oversight in critical risk areas such as client suitability, pricing, and the intermediary framework.

Tasks

• Control Execution: Timely and accurate execution of recurring 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), providing guidance, and tracking 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: Primary point of contact during internal audits and external regulatory reviews; representation regarding audit design and performance
• Continuous Improvement: Translating operational insights into concrete recommendations for improving compliance processes, digital tools, and policies
• Policy & Training Contribution: Contributed to the development and updating of compliance policies and played an active role in designing targeted training modules for frontline employees

Requirements

• Completed banking apprenticeship or university degree in banking and finance, business administration, or a related field
• At least 3 years of experience in private banking, ideally in compliance, risk management, or a 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 use of the MS Office Suite, particularly Excel (pivot tables, lookups) and PowerPoint (executive presentations)
• High personal integrity, discretion, and adherence to ethical standards
• Resilient and solution-oriented, able to perform under pressure while maintaining precision
• Fluent English (written and spoken); knowledge of other languages is a plus

We offer

A challenging and varied role in a dynamic team.