Financial Crime Compliance Officer, QA and Testing

General Description

• Financial Crime QA and Testing is part of the Compliance Division of Julius Baer and supports the Senior Management in ensuring compliance with internal and external requirements, to fulfil the regulatory, international, and environment context as per unique compliance regime.
• The role also supports the management in its day-to-day.

Key Features of the Position

Project Management

• Support Risk, Compliance Strategies to ensure compliance with local regulations and adherence to internal policies, standards and frameworks.
• Support the Product in the implementation of the risk and compliance requirements and emerging trends.

Client Management (Internal & external)

• Engage members of the team to drive financial Crime QA and testing projects in line with global-defined frameworks.
• Foster close working relationships with key stakeholders at Julius Baer and their locations (in particular Review Group) for consistent controls framework and an efficient group risk view proactively.
• Facilitate the rollout of bank-wide cultural initiatives to Client Opportunity development framework.

Business Management

• Develop and review Compliance QA controls within the applicable frameworks, including proper documentation and escalation of findings to senior management.
• Review Quarterly Compliance Reporting projects and coordinate the preparation / co-run local QA and Testing exercises.
• Develop the QA and Testing framework, including key metrics to ensure an end to end risk view proactively.
• Manage key initiatives on safety, compliance training, and emerging methodologies that accurately capture expectations and industry developments.
• Prepare and review reports for risk across analytics and systems.
• Assist in evolving and key compliance.
• Facilitating meetings and preparing minutes and reports of compliance, risk, investment, and policies.
• Assist in addressing monitoring of compliance and regulatory inspection updates and reporting (internal & external).

Regulatory Responsibilities- KICS Risk Management

Your Profile

Personal and Social

• A strong sense of responsibility, integrity and good judgement.
• Motivated, client oriented and adaptable.
• Proven technical skill with ability to work independently and in a team environment.
• Proactive organizational skills with ability to multi-task and manage tight deadlines.
• Continuous to innovate the status quo.
• Creative, initiative and proactive presentation.
• Excellent verbal and written communication skills with ability to produce concise and effective presentations and reports.

Professional and Technical

• Minimum qualification with more than 3 years' of Compliance Testing/ Assurance or Audit Experience.
• Good knowledge of the regulatory environment and risk management, including ability to connect the dots on Compliance risk issues.
• Experience in interacting with regulatory authorities and auditors.
• Knowledge of business, processes, standards, policies, and procedures in a private banking context.

Regulatory/ Industry applicability

• Preferably experience in similar role.