Compliance Officer with Legal background 50-60%
vor 1 Monat
At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together.
Compliance Control Room is part of the Risk, Legal and Compliance Division of Julius Baer and supports the Senior Management in ensuring compliance with external and internal regulations for employees and clients to actively manage operational, regulatory and reputational risks.To support us in this interesting and challenging task we’re looking for an expert in the monitoring of securities transactions and as such FINMA contact person for national and international administrative assistance. YOUR CHALLENGE
Ensure a proper handling of supervisory inquiries initiated by FINMA or foreign supervisory authorities with regard to insider offences and market abuse
Monitoring of securities transactions in the area of insider offences and market abuse
Monitoring of securities transactions carried out by employees who have to comply with holding periods or the rules of front / parallel / after running
Handling of violations of securities transactions
Investigations in connection with securities transactions
Reporting of management transactions to SIX Swiss Exchange Regulation
Responsibility for set-up/maintenance of ad-hoc confidentiality areas and information barriers
Development and implementation of directives related to the area of responsibility
Training courses in the specialist area
Support in projects in Risk, Legal & Compliance with reference to compliance-relevant topics
University Master degree in law or similar legal education (e.g. completed diploma program) is a must
3 to 5 years of experience in legal/regulatory aspects of Market
Excellent legal/regulatory background in the area of private banking as well as sound knowledge of financial products & services
Knowledge of local and European financial market regulations
Strong diplomatic (negotiation) skills, ability to assess the full scope of a problem and general high sense of responsibility
Excellent C2 language skills in German (oral and written form), ability to draw up legal documents in German
Excellent language skills in English (oral and written form)
Good communication skills in conjunction with assertiveness, able to work independently whilst and on own initiative whilst being an excellent team player
Precise, organized and reliable working style
Distinguished flexibility and efficiency, high sense of confidentiality
Excellent knowledge of MS Office and strong IT flair. Affinity to applying agile (IT) project implementation methodologies as per the Bank’s agile (transformation) framework
Solution and target-orientated while staying client-orientated with a critical mind and a strong sense of commitment to quality
We are looking forward to receiving your full job application through our online application tool. Further interesting job opportunities can be found on our Career site.
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