Head of Compliance

vor 4 Wochen


Zürich, Schweiz Sequent (Geneva) SA Vollzeit

OVERVIEW OF ROLE

Sequent is an international group of financial institutions active in the trust business. For our Zurich office, we are currently recruiting for a Head of Compliance & Risk Switzerland with experience in all relevant compliance and risk matters to lead the Compliance & Risk team Switzerland. The main mission is to ensure adherence of Sequent’s Compliance & Risk processes and activities with applicable law and regulations affecting the trust business.

RESPONSIBILITIES

  • Main point of contact and subject matter expert regarding all regulatory issues, in particular Swiss Anti Money Laundering (AML)/Financial Crime as well as compliance with SECO, EU and OFAC sanctions
  • Responsibility for and maintenance of the Internal Control System
  • Identification, assessment and documentation of operational risks, in close cooperation with the business areas
  • Responsibility for the policy framework
  • Member of New Business Approval Committee
  • Acting as Money Laundering Reporting Officer
  • Close cooperation with auditors, incl. preparation and coordination of audits, reviewing and responding to findings and monitoring their clearance and implementation
  • Performing second line of defence reviews based on the Compliance Monitoring Programme (incl. annual PEP reviews).
  • Periodical reporting to Executive Committee/Board of Directors on relevant regulatory developments and findings from Compliance Monitoring and suggestions of adequate measures.
  • Close interaction with Compliance Officers of other locations/member of the Sequent Group Compliance Committee
  • Providing periodical AML/CTF training to staff

REQUIREMENTS

  • University degree in law or economics Postgraduate qualification and professional risk qualification of advantage.
  • At least 10 years of relevant working experience within a Swiss financial institution, preferably in the trust business
  • Proficient in German and English (written and spoken)
  • Highest level of integrity in all matters
  • Excellent communication skills and pro-active personality
  • High level of ownership and commitment, solution oriented
  • Strong interpersonal skills
  • Very good organizational and planning skills
  • Proficient use of MS Office applications and ideally Navision
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