AML Compliance Officer

vor 3 Wochen

Zürich, Zürich, Schweiz Banque Lombard Odier & Cie SA Vollzeit

Wer sich für eine Karriere bei Lombard Odier entscheidet, ist für einen renommierten, globalen Vermögensverwalter und Asset Manager tätig, der sich auf nachhaltige Investitionen fokussiert. Wir sind eine unabhängige und innovative Bank erster Wahl für private und institutionelle Kunden. Unsere Gruppe ist eine der bestkapitalisierten weltweit. Wir verwalten rund CHF 300 Milliarden und sind auf vier Kontinenten von über 25 Niederlassungen aus tätig.

Mit unserer über 225-jährigen Geschichte sind wir ein Investmenthaus mit umfassendem Angebot an diskretionärer und beratender Portfolioverwaltung sowie Finanzdienstleistungen. Unsere hochmoderne Technologie-Plattform vermarkten wir auch erfolgreich an andere Finanzinstitute. Über Lombard Odier Investment Managers bieten wir Vermögensverwaltungsdienstleistungen und Anlagestrategien an.

"Rethink Everything" ist unsere Philosophie – sie steht im Zentrum unseres Handelns. Wir sind durch mehr als 40 Finanzkrisen stärker geworden, indem wir die Welt um uns herum ständig neu gedacht haben. So bieten wir unseren Kundinnen und Kunden stets neue Anlageperspektiven.

YOUR MISSION:

  • Operational due diligence reviews according to CDB standards, FINMA Ordinance and Swiss AML law
  • Perform on-boarding, Change of Circumstances and event-triggered reviews of Private Banking clients, especially but not only from/in the Swiss domestic and International Markets with a special focus on Middle East / Eastern Europe region / nexus
  • Background Screening of required role holders in Pythagoras, Nexis-Lexis and open media as well as perform daily overnight screening alert reviews
  • Develop and write compliance risk assessment with focus on:
    • Account purpose
    • Account structure
    • Professional/Personal background of client
    • SoW/SoF plausibility and verification
    • Negative news subject to Financial Crime or Terrorist Finance, Sanctions, PEP or Reputational Risk
    • Risk score evaluation (country risk, risk industry etc)
    • Align risk assessment with potential existing exposure
    • Transactions review where required
  • Manage case submission incl. Compliance Risk Assessment to Due Diligence Committee for High risk / PEP classified clients
  • Ensure control of respective follow up actions assigned and perform system validation in CRM
  • Provide prospect and onboarding advice in relation to potential new and pre-existing PEP / High / Medium / Low Risk clients and act as competence center for all complex structures and PEP related questions
  • Provide advice and support, in relation to all AML matters, to: Front Office, Client Lifecycle Management and other teams in relation to joint functions
  • Work to meet tight deadlines in order to perform the required Compliance reviews according to regulatory and business requirements
  • Cooperate with the Front Office in a timely manner in order to adhere to both regulatory and policy requirements while considering business objectives
  • Act as deputy to Swiss Head Compliance Onboarding and Review

DESIRED PROFILE:

  • 5 - 7 years of experience in Due Diligence and AML work in the financial services industry
  • Potential experience as manager / team lead in a run the bank organization subject to transformation and innovation
  • Fluency in English is mandatory with reading comprehension in either Arabic, Russian or French. Any other languages are nice to have assets
  • As an AML Compliance Officer, having been responsible for private client due diligence related questions and relevant market coverage
  • Used to handle complex client cases such as High Risk, PEP classified clients and Complex Structures
  • Having thorough experience of handling various aspects of due diligence such as AML, CDB, FATCA, Tax and CRS
  • Bachelor's degree in law (or equivalent) or evidence of comparable academic / work achievement
  • Ability to summarize complex topics, to drive practical outcomes and to make sound decisions or proposals, including escalation when appropriate, as well as the ability to work well under pressure and against short deadlines
  • Capability to develop and write detailed compliance assessments in English with clear documentation of risks and development of mitigants
  • Strong interpersonal, communication, presentation and influencing skills. In particular, a proven ability to foster productive relationships with front office staff and senior management;
  • Resident in Switzerland. 100% office job in Zurich with no possibility of remote work.

Fünf Werte definieren die DNA unseres Hauses. Exzellenz motiviert uns, die Besten unseres Gebiets zu sein, und Innovation ermöglicht unseren Fortschritt. Respekt ist das Fundament unserer Interaktionen, und Integrität leitet unser Handeln. Gemeinsam sind wir ein Team, das sich mit leidenschaftlichem Engagement in den Dienst unserer Kundinnen und Kunden stellt.

Should you recognise yourself in this mission statement, we would be happy to receive your application. It will be handled in the strictest confidence.

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