Head of Compliance
vor 4 Wochen
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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