Senior Specialist - Employee-Related Conflicts

Job description

We are looking for a Senior Specialist - Employee-Related Conflicts (80-100% m/f/d) for our Employee Compliance Team within the Central Compliance division. The team is responsible for the Conduct Framework, monitoring and promoting effective governance, and ensuring adherence to the highest compliance standards across our operations.

Tasks

The tasks include:

• Independent management of end-to-end processes, including restricted lists, pre-clearance, and annual declarations, to ensure consistency and audit readiness
• Promoting process improvements through automation and technology partnerships to increase efficiency, coverage, and risk detection
• Point of escalation for suspected violations; leading investigations and coordinating disciplinary actions in collaboration with HR and line management
• Advising senior management on behavioral risks, personal trading restrictions, and mitigation measures—providing pragmatic, principles-based guidance that aligns with business realities

Requirements

The following requirements apply to this position:

• Either a university degree in law, business administration, finance, or a related field, or extensive professional experience in the banking sector, particularly in areas such as trading or trade surveillance
• At least 5 years of relevant experience in a financial services environment, preferably in private banking or wealth management, with a solid understanding of fair value principles and regulatory expectations
• Proven expertise in transaction monitoring and/or employee compliance, including policy interpretation, violation assessment, investigative procedures, and disciplinary recommendations
• Demonstrated interest in and contribution to the optimization, automation, and digitization of compliance processes—particularly in areas such as transaction monitoring, pre-clearance workflows, or employee disclosure initiatives
• Solid knowledge of private banking products and services to enable an accurate assessment of employee transactions in the context of complex instruments, investment products, and advisory activities