Compliance Officer - Client Onboarding (f/m/d)

Stellenbeschreibung

Aufgaben

• Serve as a Subject Matter Expert for the enforcement of Anti-Money Laundering (AML) standards and the assessment of unusual activities.
• Perform employee-related investigations and reviews in order to propose mitigating measures and sanctions in close collaboration with HR and the business (Employee Coverage).
• Perform comprehensive background checks, assess and document the sources of information critically.
• Escalate issues identified along the review process, while initiating and monitoring mitigation measures to reduce the bank's risk exposure.
• Collaborate with partners across all three Lines of Defence (Front, Compliance and Internal Audit), as well as other functions (Relationship Managers, Front Risk Management, etc.) and domestic and foreign group affiliate.
• Provide training and training materials in connection with Compliance topics.
• Recommend, develop, and implement solutions to support continuous improvement of our processes, procedures, and services.
• Responsible for fraud prevention and detection activities and ownership for the internal and external Fraud Risk Type Framework (Employee Coverage specific only).

Transaction Monitoring (rolle spezifisch)

• Independently review unusual transactions detected by the IT-based AML monitoring system, analyse their economic background and assess if the transaction is in line with the client's KYC (Know Your Customer) profile.
• Undertake additional clarifications if deemed required (e.g. investigate with the front units, run adverse information checks of the ordering party and/or beneficiary of the transaction, request and review corroboration documents etc.).
• Review corroboration documents and assess negative news (including assessment of reliability of the source).

Private Banking Compliance (rolle spezifisch)

• Support Relationship Managers and Leadership in the implementation and supervision of Compliance issues.
• Perform client onboarding reviews including assessment of KYC, client storyline, flow of funds, CDB (Agreement on the Swiss bankers' code of conduct with regard to the exercise of due diligence), as well event triggered KYC reviews.
• Follow up on outstanding onboarding issues and escalations.
• Identify and investigate serious cases of non-compliance.
• Provide training and training materials in connection with compliance topics.

Anforderungen

• Good computer skills. Required knowledge of due diligence search tools: Name Check, Lexis-Nexis, Sion, Spark, Skyminder, Credits, Wealth-X.
• Good knowledge of MS Office and IT-flair.
• Ability to effectively apply working knowledge of global AML and CFT (Combating the Financing of Terrorism) regulations and standards, current money laundering schemes to effectively identify and mitigate risks.
• Ability to define problems, collect data, establish facts and draw valid conclusions: ability to interpret an extensive variety of data and deal with complex situations.

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