Compliance Officer
Vor 7 Tagen
Compliance Officer (Zurich/Zug)
Compliance Officer
The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. We are currently seeking a Compliance Officer to join our Zurich office (with regular travel to our Zug office).
Principal Responsibilities
- Provide on desk Compliance coverage for trading teams
- Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
- Identification and escalation of potentially suspicious order, trade and communications activity
- Conducting ad hoc reviews and analysis of activity to identify potentially suspicious activity and/or patterns or repeated activity
- Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected
- Assist in the maintenance of the Firm’s compliance program and records
- Manage the Firm’s code of ethics/personal trading policies utilizing compliance software
- Assist in the administration and review of compliance certifications, which may include sensitive information relating to conduct
- Monitor regulatory changes, updates and industry-wide compliance initiatives
- Assist in improving the accuracy and efficiency of Compliance processes
- Assist in maintenance of procedure manuals as and when required
- Assist in the preparation of compliance reports and presentations for management
- Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
- Prepare and conduct compliance trainings
- Schedule and maintain Compliance logs and materials
- Participate in working groups and other projects as needed
Qualifications/Skills Required
- Experience at a regulatory authority or in the Compliance department of a financial services company
- Strong knowledge of trading, particularly equities and derivatives
- Regulatory background in global markets
- Demonstrable experience working with trade and communication surveillance systems and alerts and investigating associated conduct issues
- Ideally have experience in compliance monitoring
- Ability to quickly grasp an understanding of alert triggers and trading behaviour
- Strong attention to detail and accuracy essential as well as organization skills
- Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
- Good team player with a strong willingness to participate and help others
- Able to prioritize in a fast moving, high pressure, constantly changing environment; high sense of urgency
- Strong communication skills
-
Compliance Officer
vor 4 Wochen
Zürich, Schweiz Rheinmetall Air Defence AG VollzeitWOFÜR WIR SIE SUCHENAls Compliance Officer (m/w/d) betreuen Sie den Standort der Rheinmetall Air Defence AG in Zürich selbstständig und übernehmen Aufgaben innerhalb der Division, insbesondere die Konzeptionierung, Implementierung und kontinuierliche Optimierung des Compliance Management Systems auf Basis der Geschäftsprozesse.Zu Ihren Aufgaben gehören...
-
Compliance Officer
Vor 2 Tagen
Zürich, Schweiz Rheinmetall Air Defence AG VollzeitWOFÜR WIR SIE SUCHENAls Compliance Officer (m/w/d) betreuen Sie den Standort der Rheinmetall Air Defence AG in Zürich selbstständig und übernehmen Aufgaben innerhalb der Division, insbesondere die Konzeptionierung, Implementierung und kontinuierliche Optimierung des Compliance Management Systems auf Basis der Geschäftsprozesse.Zu Ihren Aufgaben gehören...
-
Legal & Compliance Officer
vor 4 Wochen
Zürich, Schweiz Robeco Investment Engineers VollzeitLegal & Compliance OfficerLegal & Compliance OfficerApply locations Switzerland, Zürich time type Full time posted on Posted Yesterday job requisition id R1783Robeco Switzerland Ltd., part of the international Robeco group, is seeking a dedicated and proactive Junior Legal & Compliance Officer to join our team in Zurich. This role offers a unique...
-
Compliance Officer
vor 2 Monaten
Zürich, Schweiz Kanadevia Inova VollzeitCompany Description Welcome to Kanadevia Inova, a global innovation leader in the waste infrastructure space, where we believe in creating a sustainable future through technology and innovation. Transforming Waste into Value At Kanadevia Inova, we pride ourselves on being at the forefront of waste-to-X technology. We are not just waste managers; we are...
-
Compliance Officer – Private Banking
vor 2 Monaten
Zürich, Schweiz Taleo Consulting VollzeitDo you want to start an ambitious and challenging career?Would you like to work in an exciting and fun environment?Do you thrive in work environments that push you to be your best?Taleo Consulting is a management consulting group with offices in Luxembourg, Paris, Brussels, Amsterdam, Geneva, Zurich, Barcelona, Singapore, and Lisbon. As a young and growing...
-
Compliance Officer
vor 1 Monat
Zürich, Zürich, Schweiz Alpinum Solutions AG VollzeitAt Alpinum Solutions AG, we are seeking a highly skilled Compliance Specialist to join our team. This challenging role involves evaluating the risk profile of high-risk clients and transactions, overseeing daily transaction monitoring alerts, and providing ad-hoc assistance to the compliance team.Key ResponsibilitiesEvaluate and analyze the risk profile of...
-
Compliance Officer
vor 1 Monat
Zürich, Schweiz Rheinmetall Air Defence AG VollzeitWOFÜR WIR SIE SUCHENAls Compliance Officer (m/w/d) betreuen Sie den Standort der Rheinmetall Air Defence AG in Zürich selbstständig und übernehmen Aufgaben innerhalb der Division, insbesondere die Konzeptionierung, Implementierung und kontinuierliche Optimierung des Compliance Management Systems auf Basis der Geschäftsprozesse.Zu Ihren Aufgaben gehören...
-
Compliance Officer
vor 1 Monat
Zürich, Schweiz Rheinmetall VollzeitWOFÜR WIR SIE SUCHENAls Compliance Officer (m/w/d) betreuen Sie den Standort der Rheinmetall Air Defence AG in Zürich selbstständig und übernehmen Aufgaben innerhalb der Division, insbesondere die Konzeptionierung, Implementierung und kontinuierliche Optimierung des Compliance Management Systems auf Basis der Geschäftsprozesse.Zu Ihren Aufgaben gehören...
-
Compliance Officer
vor 2 Monaten
Zürich, Schweiz Rheinmetall Air Defence AG VollzeitWOFÜR WIR SIE SUCHENAls Compliance Officer (m/w/d) betreuen Sie den Standort der Rheinmetall Air Defence AG in Zürich selbstständig und übernehmen Aufgaben innerhalb der Division, insbesondere die Konzeptionierung, Implementierung und kontinuierliche Optimierung des Compliance Management Systems auf Basis der Geschäftsprozesse.Zu Ihren Aufgaben gehören...
-
Compliance Officer
Vor 2 Tagen
Zürich, Schweiz Rheinmetall Air Defence AG VollzeitWOFÜR WIR SIE SUCHENAls Compliance Officer (m/w/d) betreuen Sie den Standort der Rheinmetall Air Defence AG in Zürich selbstständig und übernehmen Aufgaben innerhalb der Division, insbesondere die Konzeptionierung, Implementierung und kontinuierliche Optimierung des Compliance Management Systems auf Basis der Geschäftsprozesse.Zu Ihren Aufgaben gehören...
-
Compliance officer
vor 2 Wochen
Zürich, Schweiz Rheinmetall VollzeitDie börsennotierte Rheinmetall AG als integrierter Technologiekonzern mit seinen weltweit über 25.000 Mitarbeiterinnen und Mitarbeiter steht für ein substanzstarkes, international erfolgreich operierendes Unternehmen, das mit einem innovativen Produkt- und Leistungsspektrum auf unterschiedlichen Märkten aktiv ist. Als namhafter Entwicklungspartner und...
-
Junior Legal
vor 3 Wochen
Zürich, Schweiz Robeco Investment Engineers VollzeitJunior Legal & Compliance OfficerApply locations Switzerland, Zürich time type Full time posted on Posted 5 Days Ago job requisition id R1783 Robeco Switzerland Ltd., part of the international Robeco group, is seeking a dedicated and proactive Junior Legal & Compliance Officer to join our team in Zurich. This role offers a unique opportunity to gain...
-
Compliance Officer
vor 3 Wochen
Zürich, Zürich, Schweiz Alpinum Solutions AG VollzeitJob OverviewWe are seeking an exceptional talent to join our team as a Senior Compliance Officer at Alpinum Solutions AG. This is a fantastic opportunity for a skilled professional to contribute to the success of our company.
-
Junior Legal
vor 3 Wochen
Zürich, Schweiz Robeco Asset Management VollzeitRobeco Switzerland Ltd., part of the international Robeco group, is seeking a dedicated and proactive Junior Legal & Compliance Officer to join our team in Zurich. This role offers a unique opportunity to gain comprehensive experience across all areas of compliance within a FINMA-licensed asset management company of approximately 100 employees.DepartmentKey...
-
Head Group Compliance
vor 2 Monaten
Zürich, Schweiz Barry Callebaut VollzeitHead Group Compliance & Data Privacy OfficerBarry Callebaut is the world’s leading manufacturer of high-quality chocolate and cocoa products and is committed to making 100% sustainable chocolate by 2025.We are currently recruiting for an experienced candidate to assume the role of Group Compliance & Data Privacy Officer. Based in Zurich, the role will be...
-
Compliance Officer
vor 2 Wochen
Zürich, Schweiz Millennium Management, LLC VollzeitCompliance Officer (Zurich/Zug)Millennium Management, LLC Zürich, SchweizThe Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and...
-
Regulatory Compliance Officer
vor 4 Wochen
Zürich, Zürich, Schweiz Alpinum Solutions AG VollzeitAlpinum Solutions AG is a leading provider of managed legal services. We are seeking a highly skilled Compliance Specialist to fill the position of Compliance Officer in our Zurich office.About the RoleEvaluate risk profiles and analyze high-risk clients and transactions, identifying potential financial crime risks.Oversee transaction monitoring alerts,...
-
Senior Compliance Officer
vor 1 Monat
Zürich, Zürich, Schweiz Alpinum Solutions AG VollzeitAlpinum Solutions AG is a leading provider of managed legal services in Switzerland, Germany and Liechtenstein.About the RoleWe are seeking an exceptional Compliance Manager to support the development and implementation of a unified control framework across our group.This role requires strong expertise in control framework development, implementation, and...
-
Compliance Officer, Private Wealth
vor 1 Woche
Zürich, Schweiz Coller Capital VollzeitKEY PURPOSE:Working with the firm’s New Yorkbased Private Wealth SecondariesSolutions (PWSS)Global Compliance Officer, PWSS regional management and others, you will develop strong working relationships with all key stakeholders, supporting the delivery of best-in-class regulatory compliance arrangements for the Coller Capital group’s Private Wealth...
-
Head Group Compliance
vor 1 Monat
Zürich, Schweiz Barry Callebaut Manufacturing Iberica SA. VollzeitHead Group Compliance & Data Privacy OfficerLocation: Zurich, CH, 8005At Barry Callebaut, we are on a journey to transform the cocoa and chocolate industry. As the world’s leading manufacturer of high-quality chocolate and cocoa products, our actions truly shape the future of our industry. We are a business-to-business company, serving the entire food...
