Compliance Officer – Market Regulations
vor 16 Stunden
Compliance Officer – Market Regulations & Best Execution 80 - 100% (f/m/d) Join Julius Baer as a Market Regulations & Best Execution Specialist based in Zurich. The role is integral to our Financial & Capital Markets Compliance team, serving as the primary point of contact for trading staff and client‑facing employees across all trading‑related compliance matters, including Foreign Exchange, Precious Metals, Structured Products, Securities, Fixed Income, and Funds. YOUR CHALLENGE Act as a trusted advisor and sparring partner within the Business Compliance function, providing support, enabling business objectives, and constructively challenging the teams covered Serve as the central competence centre for market regulations and best execution, covering areas such as transaction reporting, trade reporting, securities journaling, securities lending and borrowing, and shareholder monitoring Act as the first point of contact for back‑office and client‑facing employees Handle compliance queries related to market regulations and best execution, including those raised by regulators and counterparties (e.g., banks, brokers, ICSDs/CSDs, custodians, trading venues) Contribute to shaping global minimum standards by drafting policies, guidelines, and manuals, and by defining or implementing global minimum controls and monitoring activities Conduct in‑depth reviews of existing processes to identify potential risks and opportunities for improving efficiency Proactively collaborate with internal stakeholders and governance bodies through effective communication to uphold and enhance the firm’s market regulation and best execution frameworks Work closely with other subject‑matter experts within Global Compliance, General Counsel’s Office, and the CRO Unit when assessing complex or cross‑functional cases Support key business initiatives in relation to market regulations and best execution, and deliver regular training sessions to ensure sustained risk awareness across the organisation YOUR PROFILE University degree or equivalent qualification in Business Administration, Economics, or (Business) Law; further qualifications (e.g., postgraduate studies in compliance or risk management) are advantageous In‑depth knowledge of Swiss and European financial market regulations, including but not limited to MiFID II, MAR/MAD, FinSA, and FMIA; familiarity with financial markets regulation in Asia, the UK, or the US is considered a strong asset Professional experience in Compliance or Internal Audit within a banking environment is essential, preferably in trading‑floor compliance or associated risk functions; solid understanding of banking operations and trading products is highly desirable Strong communication skills combined with personal assertiveness; ability to work independently while remaining a collaborative team player Communicative, self‑driven, resilient, and confident in manner and approach Solution‑ and client‑focused mindset, coupled with meticulousness and strong analytical capabilities Demonstrated personal initiative, adaptability, diplomatic negotiation skills, and a high level of accountability Genuine interest in the evolving regulatory landscape and internal control processes within a private banking context We look forward to receiving your full application through our online application tool. Further interesting job opportunities can be found on our Career site. Seniority level Mid‑Senior level Employment type Full‑time Job function Legal Industries Banking #J-18808-Ljbffr
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