Senior Compliance Officer, Onboarding with Focus on Eastern European Markets

vor 2 Wochen

Zürich, Schweiz UNION BANCAIRE PRIVEE, UBP SA Vollzeit
Karriere und Ausbildung Vacancies Offene Stelle :Senior Compliance Officer, Onboarding with Focus on Eastern European Markets
Zweigstelle :Zürich
Eintrittsdatum :01.06.2024
Arbeitszeit : Domain :

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  Senior Compliance Officer, Onboarding with Focus on Eastern European Markets Description

Union Bancaire Privée (UBP) was founded in 1969 by Edgar de Picciotto, whose vision from the outset was to offer investors an astute and innovative wealth management service. With assets under management of CHF 140.0billion as at the end of December 2023 and a professional, global workforce of around 2’094 people, UBP is a major player in Switzerland’s wealth-management industry. Headquartered in Geneva, the Bank has over twenty locations in key economic and financial hubs worldwide, enabling it to combine global expertise with local know-how.

Mission

.

Challenges

Handling the day-to-day spectrum of client onboarding assessment activities of UBP Private Banking Zurich and Basel, with a focus on the Eastern European business to ensure adherence to applicable laws and regulations, including AML, CTF, Sanctions, anti-bribery and corruption laws, tax compliance as well as internal policies and procedures.

Main responsibilities
  • Provide guidance, support and relevant information to Relationship Manager and Line Management in terms of all Compliance aspects related to client on-boarding, with a focus on clients introduced and managed by the Emerging Markets Desk with special focus on the Eastern and Central European Markets
  • In the context on an onboarding case, review new and existing clients, prepare client assessments for presentation to the Bank's account Opening Committees
  • Take ownership of specific on-boarding and mutation (change in circumstances) cases throughout the process and, where applicable, ensure escalation and presentation to higher Committees
  • Corroborate and challenge KYC information provided by the business and perform checks via internal and external database sources where appropriate 
  • Coordinate the commissioning of external due diligence reports where applicable
  • Ensure the follow-up on the completion of tasks arising from recommendations and conditions set out during the on-boarding process
  • Prepare internal investigation memorandums to determine potential filing of Suspicious Activity Reports (SARs) and assist in the processing of the filing, where applicable
  • Liaise and work with other Compliance functions in Zurich and Geneva in order to obtain a holistic client view and align on Group Compliance programs
  • Assist with departmental projects and initiatives as/when required
  • Monitor changes to business practices and products to ensure that AML controls and procedures are adequate to cover them 
Education
  • Education: Bachelor Degree
  • Certification: Degree in Law, Economics, Finance, Business Administration or similar
Experience
  • Years of experience: 3-7 : intermediate
  • Experience required:
  • A minimum of 3-7 years’ experience as Compliance, AML and/or KYC specialist in Private Banking/Wealth Management or similar role
  • Very good understanding of risk management and controls
  • Fluent in English and Russian
  • Experience in private banking: Mandatory
Language
  • English: Fluent
  • Other: Fluent (Russian)
Personal skills
  • Swiss resident: Mandatory
Strong analytical and communication skills Commercial awareness, solution focused Ability to work independently, take decisions and set priorities

Zurück zur ListeOnline-Bewerbung


Portal für Online-Bewerbungen – Richtlinien für den Umgang mit personenbezogenen Informationen potenzieller Kandidaten/innen

Das System für Online-Bewerbungen (nachfolgend das «Online-Bewerbungsportal» oder «Portal») der Union Bancaire Privée, UBP SA, (nachfolgend «die UBP») wird von unserem Hauptsitz in Genf aus gemäss schweizerischem Recht, namentlich den Datenschutz betreffend, sowie auf der Grundlage nachfolgender Grundsätze betrieben. Es ermöglicht allen Personen (nachfolgend «die Kandidaten/innen»), Bewerbungen zu den im Online-Bewerbungsportal ausgeschriebenen offenen Stellen sowie Spontanbewerbungen einzureichen. Davon ausgenommen sind Personalvermittlungsunternehmen und Headhunters.

Die UBP garantiert, dass sie über das Online-Bewerbungsportal übermittelte Personendaten wie Vor- und Nachnamen, Anschrift und andere im Zusammenhang mit der Identität oder dem beruflichen Werdegang der Kandidaten/innen stehende Informationen (nachfolgend die «Personendaten») vertraulich behandeln wird. Die Bank wird diese auf einem internen gesicherten Server speichern, zu dem nur die zur Bearbeitung der betreffenden Bewerbung ermächtigten Personen Zugriff haben. Mit der Übermittlung der Personendaten über das Online-Bewerbungsportal akzeptieren die Kandidaten/innen die Risiken der Datenübertragung via Internet, die keinen absoluten Datenschutz garantiert.

Durch die Übermittlung ihrer Personendaten erlauben die Kandidaten/innen, dass diese von der UBP und/oder jeder Zweigstelle der UBP Gruppe (nachfolgend «die UBP Gruppe»), insbesondere von den jeweiligen Human-Resources-Abteilungen im Rahmen der Rekrutierung neuer Mitarbeiter zur Prüfung und Nachverfolgung der Bewerbungen verwendet werden. Liegt für eine offene Stelle der Arbeitsort ausserhalb der Schweiz oder könnte ein Kandidaten/innenprofil eine Zweigstelle der UBP Gruppe im Ausland interessieren, erklären sich die Kandidaten/innen im Voraus damit einverstanden, dass ihre Personendaten der betreffenden Zweigstelle zugestellt werden. Des Weiteren akzeptieren sie, dass das für besagte Zweigstelle im Ausland geltende Recht nicht unbedingt einen dem schweizerischen Recht entsprechenden Daten- oder Arbeitnehmerschutz gewährleistet.

Die UBP verpflichtet sich, ohne Zustimmung der Kandidaten/innen keine vorgenannten Personendaten an Dritte ausserhalb der UBP Gruppe weiterzuleiten, zu veröffentlichen und/oder zu verkaufen, es sei denn, diese Informationsübermittlung erfolge auf Anfrage einer staatlichen, gerichtlichen oder anderen Aufsichtsbehörde und/oder sei von Gesetzes wegen verordnet. Teilen die Kandidaten/innen der UBP den Namen einer Referenzperson mit, müssen sie diese im Voraus davon in Kenntnis setzen und akzeptieren, dass die Vertreter der UBP mit ihr Kontakt aufnehmen.

Falls Kandidaten/innen ihre Bewerbung sowohl über ein Personalvermittlungsunternehmen oder einen Headhunter als auch über das Online-Bewerbungsportal einreichen, wird die UBP einzig die zuerst eintreffende Bewerbung berücksichtigen. Die Kandidaten/innen werden daran erinnert, dass sie laut schweizerischem Recht Zugang zu den sie betreffenden Personendaten haben und dass Ihnen das Recht zusteht, falsch mitgeteilte Informationen zu berichtigen. In diesem Falle werden die Kandidaten/innen gebeten, die UBP über das Online-Bewerbungsportal mit der genauen Angabe des Zwecks ihrer Anfrage zu kontaktieren. Die Bewerbungsunterlagen der Kandidaten/innen werden während der zu ihrer Prüfung erforderlichen Zeit aufbewahrt, die Originale in der Folge an die Kandidaten/innen zurückgeschickt und allfällige Kopien zerstört. Eine Ausnahme bilden die mit dem Einverständnis der Kandidaten/innen aufbewahrten Unterlagen.

Mit der Eingabe von Personendaten in das Online-Bewerbungsportal der UBP

  • stimme ich einer Bearbeitung damit gemäss den oben erläuterten Grundsätzen zu, die ich zur Kenntnis genommen habe.
  • stimme ich einer Aufbewahrung meiner Bewerbungsunterlagen durch die UBP zu, falls die Bank dies im Hinblick auf künftige Stellen für sinnvoll erachtet.

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