Financial Crime Compliance Officer, QA and Testing

General Description

• Financial Crime QA and Testing is part of Julius Baer’s Compliance Division and supports senior management in ensuring compliance with internal and external requirements to meet regulatory, international, and environmental standards in accordance with the firm’s unique compliance framework.
• The role also supports management in its day-to-day operations.

Key Features of the Position

Project Management

• Support risk and compliance strategies to ensure compliance with local regulations and adherence to internal policies, standards, and frameworks.
• Support the Product team in implementing risk and compliance requirements and addressing emerging trends.

Client Management (Internal and External)

• Engage team members to lead financial crime QA and testing projects in accordance with globally defined frameworks.
• Proactively foster close working relationships with key stakeholders at Julius Baer and its locations (particularly the Review Group) to ensure a consistent control framework and an efficient group-wide view of risk.
• Facilitate the rollout of bank-wide cultural initiatives to the Client Opportunity Development Framework.

Business Management

• Develop and review compliance quality assurance controls within the applicable frameworks, including proper documentation and escalation of findings to senior management.
• Review quarterly compliance reporting projects and coordinate the preparation and co-lead local quality assurance and testing exercises.
• Develop the QA and testing framework, including key metrics to proactively ensure an end-to-end view of risk.
• Manage key initiatives related to safety, compliance training, and emerging methodologies that accurately reflect expectations and industry trends.
• Prepare and review risk reports across analytics and systems.
• Assist with evolving and key compliance matters.
• Facilitating meetings and preparing minutes and reports on compliance, risk, investment, and policies.
• Assist with monitoring compliance and regulatory inspection updates and reporting (internal and external).

Regulatory Responsibilities - KICS Risk Management

Your Profile

Personal and Social

• A strong sense of responsibility, integrity, and good judgment.
• Motivated, client-oriented, and adaptable.
• Proven technical skills and the ability to work both independently and as part of a team.
• Proactive organizational skills with the ability to multitask and meet tight deadlines.
• Continuously innovating to challenge the status quo.
• A creative, proactive, and self-motivated presentation.
• Excellent verbal and written communication skills, with the ability to produce concise and effective presentations and reports.

Professional and Technical

• Minimum of 3 years' experience in compliance testing, assurance, or auditing.
• A solid understanding of the regulatory environment and risk management, including the ability to identify connections in compliance risk issues.
• Experience in interacting with regulatory authorities and auditors.
• Knowledge of business, processes, standards, policies, and procedures in the context of private banking.

Regulatory/Industry Applicability

• Preferably, experience in a similar role.