DEPUTY TEAM HEAD COMPLIANCE COVERAGE SWITZERLAND

Position

• Deputy Team Head Compliance Coverage Switzerland
• Zürich
• Legal & Compliance
• 100%

What You'll Do

• Act as Deputy to the relevant Compliance function head, providing support in the day-to-day oversight and ensuring delegated responsibilities as required.
• Interact with the Sales & Trading division, assess existing and prospect business relationships, conduct reviews, ensure compliance with applicable regulatory requirements and internal policies.
• Provide compliance advisory on topics in how our work. Expertise is valued, ownership is encouraged, and action plans.
• Perform compliance reviews and monitoring activities, identify potential risks, and contribute to managing any risks.
• Prepare and coordinate compliance-related templates, internal memos, and advisory notes for business stakeholders and senior management.
• Assist the lead in the development and enhancement of the firm's Compliance Framework, quality, and providing guidance and support business.
• Develop an understanding of capital markets and related products (PDEs/LEI, FINO, MIFID, EMIR, FinSA/Client complaints handling).
• Comply with compliance documentation used across Swiss, FCA and EU regulatory regimes.
• Act as point of contact for regulatory reporting and regulatory updates.
• Review and enforce compliance related templates, internal memos, and advisory notes for business management.
• Prepare compliance assessments, risk analyses, internal memoranda, and advisory notes for business stakeholders and senior management.
• Collaborate with business teams to ensure their understanding and adherence to compliance requirements and internal policies.

What You'll Need

• Masters degree in Economics, Business Administration, Law/Compliance/Regulatory or equivalent.
• In-depth knowledge of capital markets and related products (PDEs/LEI, FINO, MIFID, EMIR, FinSA/CRR Regulation).
• Strong understanding of money markets, fixed income, interest rates and FX.
• Relevant experience in trading, hedging, market risk and P&L management.
• Strong analytical, numerical and decision-making skills.
• Experience in a structured investment product value.
• Commitment to excellence and our uncompromising standards are our guiding north star.
• Commercial, proactive and entrepreneurial mindset.
• First-hand leadership experience.
• Strong Excel skills; treasury/trading systems experience is an advantage.

Nice To Have

• Additional language skills.
• Understanding of governance structures within a financial services / regulated company.
• Worked in a regulated environment and internal policies.

Why You'll Love Working Here

• Empowerment to be a key point of contact for our world class clients.
• Innovative and forward-thinking environment.
• Unique opportunity within our organisation to build and have a big influence on the evolution the structured investment product value chain.
• Workflows of customer account features.