Head of Compliance, Private Clients

Job description: Head of Compliance Private Clients

Tasks

• Leading and developing a team of experienced compliance officers in Switzerland and Germany, promoting cross-border cooperation, continuous professional development, and regulatory awareness in all teams, as well as effective implementation of the Group Compliance Framework
• Expert guidance on Swiss, EU, and international regulatory frameworks affecting wealth management, including interpretation and communication of requirements and cross-border rules
• Identifying and assessing the impact of new or updated regulatory requirements and providing clear and tailored advice to relevant boards, senior management, and stakeholders
• Ensuring that policies and procedures are fully compliant with applicable regulatory requirements, best practices, and Group standards
• Overseeing investigations of compliance violations, managing corrective actions and ensuring proper documentation and reporting
• Maintaining a robust and constructive relationship with key regulatory authorities, including FINMA, as well as external and internal auditors
• Ensuring that critical compliance-related matters are escalated to senior management in a timely manner
• Developing and maintaining a robust compliance control environment, including regular risk assessments and control testing

Requirements

• At least 8 years of experience in a leadership role, preferably in an international private banking environment with a focus on regulatory compliance in Switzerland and the EU
• Strong understanding of suitability, conflicts of interest, marketing compliance, cross-border rules, ESG, and control frameworks
• Proven experience in designing, implementing, and maintaining robust compliance frameworks (including the creation and implementation of policies, procedures, controls, and risk assessments)
• Strong sense of integrity and ethics, as well as organizational and analytical skills
• Recognition as a reliable and trustworthy partner by the first and second lines of defense as well as by external service providers
• Fluent language skills in German and English; verbal and written communication skills in French and Italian are an advantage.
• Advanced degree in law, finance, or a related field

We offer

• Prime location in Zurich with collaboration spaces and complimentary lunches
• All the latest technology to support you in your work and advance your career
• Agile environment in our way of thinking, our way of working and our trust in each other
• Many special benefits, including the option to work from home up to 20% of the time
• Flat hierarchy with collaboration at all levels
• Campus atmosphere and collaborative spirit