Compliance Officer with Legal background 50-60%

vor 3 Wochen

Zürich, Zürich, Schweiz Bank Julius Bär & Co. AG Vollzeit

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
YOUR PROFILE
  • 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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