Compliance Officer

Job description

The Regulatory Compliance Officer position supports the Regulatory Compliance function in complying with Swiss regulatory requirements applicable to private banking, with a focus on market conduct, FIDLEG, cross-border activities, third-party monitoring, and client tax compliance (FATCA/CRS).

Tasks

The most important tasks include:

• Monitoring employee transactions and accounts
• Support for monitoring activities related to market abuse and behavioral risks
• Collaboration in the preparation of reports and control tests related to behavior
• Support for client classification and reclassification processes
• Review of client transactions and documentation to ensure compliance with information requirements and suitability requirements
• Support in monitoring best execution and conflict of interest frameworks
• Provision of regulatory guidelines for the front office in matters relating to the Financial Instruments Market Act (FIDLEG)
• Assessment of cross-border implications for client onboarding and account maintenance
• Support in reviewing employee travel activities and cross-border servicing restrictions
• Maintenance of cross-border country guides and provision of regulatory advice
• Support in monitoring outsourcing and supplier agreements from a regulatory perspective
• Assistance with FATCA and CRS monitoring, primarily document verification and ongoing monitoring
• Contribution to regulatory reports and restructuring processes, where necessary

Requirements

The following requirements are necessary:

• At least 3-5 years of experience in compliance functions in private banking
• Experience with regulatory projects
• FATCA and CRS experience is an advantage
• Excellent Microsoft Office skills
• Knowledge of Latin American markets is an advantage
• Knowledge of the Swiss regulatory framework applicable to private banking and asset management
• Knowledge of financial products and regulatory requirements
• Team player and proactive, willing to take on responsibility
• Good adaptability to international environments
• Strong intercultural and interpersonal skills
• Excellent communication skills
• Excellent interpersonal skills
• University degree in law or business administration or relevant experience through banking training with additional compliance-focused certifications
• Compliance qualification (DAS or similar)

We offer

No information available.