Regulatory Compliance Officer

vor 4 Wochen

Zurich, Schweiz Selby Jennings Vollzeit

Responsibilities:

  • Implementing Group policy standards related to Customer Due Diligence (CDD) and Anti-Money Laundering (AML), Market abuse regulations, conflicts of interest, etc., within the local organization.
  • Reviewing transaction monitoring rules to ensure compliance with regulatory requirements.
  • Conducting compliance controls and testing to verify adherence to policies and regulations.
  • Refreshing policy writing and reviewing cycles to keep up with evolving regulatory landscape.
  • Implementing and adjusting client risk rating models to accurately assess and manage risk.
  • Legal background by education, with the ability to perform operational legal work as needed.

Requirements:

  • Bachelor's degree in law, business administration, or related field.
  • Minimum of 3 years of experience in legal compliance or a similar role.
  • Strong understanding of regulatory requirements, particularly in areas such as Customer Due Diligence (CDD), Anti-Money Laundering (AML), Market abuse, and conflicts of interest.
  • Experience in implementing and enforcing compliance policies and procedures.
  • Proficiency in conducting compliance controls and testing to ensure adherence to regulations.
  • Excellent writing skills for policy development and review.
  • Ability to adapt policies and procedures to meet changing regulatory requirements.
  • Experience in implementing and adjusting client risk rating models is preferred.
  • Legal background or education is advantageous.
  • Strong analytical and problem-solving skills.
  • Ability to work independently and collaboratively in a fast-paced environment.
  • Excellent communication and interpersonal skills.

  • Regulatory Compliance Officer

    vor 4 Wochen

    Zurich, Schweiz Selby Jennings Vollzeit

    Responsibilities: Implementing Group policy standards related to Customer Due Diligence (CDD) and Anti-Money Laundering (AML), Market abuse regulations, conflicts of interest, etc., within the local organization. Reviewing transaction monitoring rules to ensure compliance with regulatory requirements. Conducting compliance controls and testing to verify...

  • Experienced Consultant Regulatory

    Vor 7 Tagen

    Zurich, Schweiz Eraneos Switzerland AG Vollzeit

    Die Welt des Finanzwesens erlebt eine epochale Veränderung und wir laden dich ein, Teil dieses wegweisenden Wandels zu sein. Möchtest du nicht nur Zeuge, sondern auch Gestalter dieser neuen Ära sein? Bist du von Technologie ebenso begeistert wie wir? Dann bist du bei uns genau richtig! Unser Ziel ist es, die Zukunft der Finanzwelt aktiv mitzugestalten...

  • Senior Compliance Officer

    vor 4 Wochen

    Zurich, Schweiz Larson Maddox Vollzeit

    Responsibilities: Evaluate client documentation prepared by Front Office to identify potential compliance and integrity risks, such as KYC, AML/CFT, sanctions, bribery, corruption, and tax compliance. Serve as the central liaison for Relationship Managers and other internal team members regarding compliance concerns and inquiries. Implement and monitor...

  • Freelancer - Banking Regulatory & Compliance

    vor 4 Wochen

    Zurich, Schweiz KPMG Vollzeit

    Freelancer - Banking Regulatory & Compliance - Unterstütze uns mit deinem Know-how in KYC, AML und Compliance und erhalte die Möglichkeit dein einzigartiges Netzwerk weiter auszubauen.**Zürich** **nach Vereinbarung** **60 % - 100 %, variabel** So bringst du KPMG weiter Unterstütze bei KYC, AML und Background Checks sowie bei Legal - und...

  • Graduate - Regulatory & Compliance Financial

    vor 3 Wochen

    Zurich, Schweiz KPMG-Switzerland Vollzeit

    **Lege bei KPMG den Grundstein für deine berufliche Laufbahn und bringe dein Wissen vom Studium aktiv ein. Wir sind ein dynamisches Team, das Finanzdienstleister zu regulatorischen, finanzmarktrechtlichen und Compliance relevanten Themen berät.** Graduate - Regulatory & Compliance Financial Services So bringst du KPMG weiter - Berate zusammen mit den...

  • Graduate - Regulatory & Compliance Financial

    vor 3 Wochen

    Zurich, Schweiz KPMG-Switzerland Vollzeit

    **Lege bei KPMG den Grundstein für deine berufliche Laufbahn und bringe dein Wissen vom Studium aktiv ein. Wir sind ein dynamisches Team, das Finanzdienstleister zu regulatorischen, finanzmarktrechtlichen und Compliance relevanten Themen berät.** Graduate - Regulatory & Compliance Financial Services So bringst du KPMG weiter - Berate zusammen mit den...

  • Senior Compliance Officer

    vor 3 Wochen

    Zurich, Schweiz Selby Jennings Vollzeit

    Responsibilities:Serving as the primary liaison for Relationship Managers and internal team members on compliance issues, while reviewing client files to evaluate adherence to regulations such as KYC, AML/CFT, sanctions, bribery, corruption, and tax integrity.Establishing and enforcing compliance controls within designated timeframes, which involve thorough...

  • Investment Compliance Specialist

    vor 2 Wochen

    Zurich, Schweiz Skillfinder International Vollzeit

    After the completion of the project, your role will extend to handling complex tasks within their investment compliance team. This involves actively participating in compliance projects, maintaining regulatory country rule cards, implementing investment guidelines, managing breach processes, and conducting pre & post-trade checks, as well as regulatory...

  • Head of Compliance

    Vor 7 Tagen

    Zurich, Schweiz Deutsche Bank Vollzeit

    **Head of Compliance - Switzerland**: **Job ID**:R0318460**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-03-14**Location**:Zurich**Position Overview**: **Details of the role and how it fits into the team**: As a 2nd Line of Defence (LOD) function, Compliance seeks to protect the licenses of Deutsche Bank (“DB” or the “Bank”)...

  • Private Banking Compliance

    Vor 6 Tagen

    Zurich, Schweiz Experis Vollzeit

    **Private Banking Compliance** Experis is the global leader in professional resourcing and project-based workforce solutions. **Overview of contract** On behalf of our client, one of the largest banks in Zürich, we are looking for a Private Banking Compliance. **Location**: Zürich, Altstetten **Start date**: ASAP **End date**: 31.12.2023 or...

  • Compliance Officer

    vor 1 Monat

    Zurich, Schweiz The Capital Markets Company Sàrl Vollzeit

    Joining Capco means joining an organisation that is committed to an inclusive working environment where you’re encouraged to #BeYourselfAtWork. We celebrate individuality and recognize that diversity and inclusion, in all forms, is critical to success. It’s important to us that we recruit and develop as diverse a range of talent as we can and we believe...

  • Head of Legal

    vor 4 Wochen

    Zurich, Schweiz Humentum AG Vollzeit

    For our customer, a global acting supplier of high-performance industrial components and engineered solutions, who is expanding its business areas both horizontally and vertically and its business volume is increasing worldwide, we seek you as: **Head of Legal & Compliance** Job-ID 67281 As the Head of Legal and Compliance you will be part of the Group...

  • Junior Compliance Specialist

    Vor 2 Tagen

    Zurich, Schweiz Climeworks AG Teilzeit

    You contribute to our compliance framework to ensure compliance with areas including data protection, risk management, due diligence, anti-bribery and corruption, trade compliance, and employee conduct. You provide advice and training on key compliance matters at Climeworks. You review upcoming regulatory changes and suggest action plans to ensure...

  • Spezialist:in Für Regulatory Initiatives

    Vor 7 Tagen

    Zurich, Schweiz Credit Suisse Vollzeit

    **Ihr Aufgabenbereich** Sind Sie interessiert an regulatorischen Themen und arbeiten gerne an verschiedenen Projekten? Dann könnte dies Ihre nächste Funktion sein: In dieser spannenden und verantwortungsvollen Rolle werden Sie Teil der Umsetzung von regulatorischen Projekten, Vorgaben und Prozessen in naher Zusammenarbeit mit unseren internen Stakeholdern...

  • Compliance Officer

    vor 1 Woche

    Zurich, Schweiz Flex Suisse GmbH Vollzeit

    Flex Suisse is the leading service provider for supporting legal and compliance departments with flexible staffing, managed legal services and professional search in Switzerland, Liechtenstein and Germany. For our latest mandate we are looking for an exceptional talent in the following field: Banking | Compliance Officer | Zurich | 4 months+ | 100% | Imm. |...

  • Compliance / Risk Management / Legal Support Am

    Vor 4 Tagen

    Zurich, Schweiz SwissComply AG Vollzeit

    Sie sind von den rasanten Veränderungen im Finanzmarkt fasziniert? SwissComply ist ein junges Unternehmen, das sich auf Bewilligungen und das Outsourcing von Compliance, Risk Management und Legal für Schweizer Finanzdienstleister spezialisiert hat. Aufgaben Zur Verstärkung unseres Service Desks (Assistent/-innenpool) suchen wir einen/-e Mitarbeiter/-in,...

  • C&orc Regulatory Change Event Manager

    Vor 3 Tagen

    Zurich, Schweiz UBS Vollzeit

    Switzerland - Zürich - Compliance, Legal, Risk - Group Functions **Job Reference #** - 270125BR **City** - Zürich **Job Type** - Full Time **Your role**- The management of the regulatory change event process for UBS in Switzerland by identifying new and updated laws, rules and regulations in our regulatory tracking tool - Pre-assessment of updated...

  • C&orc Regulatory Change Event Manager

    Vor 3 Tagen

    Zurich, Schweiz UBS Vollzeit

    Critères de l'offre Description du poste - The management of the regulatory change event process for UBS in Switzerland by identifying new and updated laws, rules and regulations in our regulatory tracking tool - Pre-assessment of updated laws, rules and regulations impacting UBS in Switzerland - Reporting of new and updated laws, rules and regulations to...

  • Head of Integrity and Regulatory Affairs

    Vor 3 Tagen

    Zurich, Schweiz ABB Vollzeit

    **Head of Integrity and Regulatory affairs**: **Take your next career step at ABB with a global team that is energizing the transformation of society and industry to achieve a more productive, sustainable future. At ABB, we have the clear goal of driving diversity and inclusion across all dimensions: gender, LGBTQ+, abilities, ethnicity and generations....

  • Ass. Director, Regulatory Lead, Eucan

    Vor 3 Tagen

    Zurich, Schweiz Takeda Pharmaceutical Vollzeit

    At Takeda, we are a forward-looking, world-class R&D organization that unlocks innovation and delivers transformative therapies to patients. By focusing R&D efforts on four therapeutic areas and other targeted investments, we push the boundaries of what is possible in order to bring life-changing therapies to patients worldwide. Come join our team as Ass....