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

Tasks

• Control Execution: Conducting 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 workstreams (using CLM Task Manager), providing guidance, and tracking the resolution through to completion
• Reporting & Validation: Conducting thorough analyses and validations 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 of control design and performance results
• 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 training or a 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 an oversight role
• 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)
• 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 levels

We offer