Group and Switzerland Head of Product Advisory
Vor 5 Tagen
A career at the Lombard Odier Group is something to be proud of. Our mission is to protect and grow our clients’ wealth - but not by any means necessary. Sustainability is at the heart of everything we do and we treat our clients’ wealth as if it were our own. We protect our clients’ assets for the long-term using expertise and innovation, all underpinned by our Rethink Everything philosophy. Our colleagues are the foundation of our success. We employ people at different life stages, from graduates to executive level leaders. The one thing they all have in common is that they seek to challenge the status quo, are imaginative and have the ability to offer a fresh perspective.
Group and Switzerland Head of Product Advisory & Control Room
The Product Advisory & Control Room Department, is a team sitting in the Compliance Unit of the Group Lombard Odier. The team is in charge of the financial services and markets compliance items pertaining to the private banking entities of the Lombard Odier Group and of its Swiss entity, which centralizes several activities and central services for the coverage and management of specific risks of the Group.
The team’s daily activities are very varied and include a good mix of both controls and monitoring, advisory and analysis, as well as staff awareness, focussing mainly on the following areas:
- Investment Services and Products (e.g., product governance and distribution, investment offering)- Financial Markets (such as best execution, trading activities and trade reporting, issuance of structured products)- Marketing & Communications of the Group (financial promotions, branding, social media)- Conduct and Governance (Firewalls, conflicts of interests, segregation duties)- Control Room (market abuse and staff operations & conflicts of interest)
Additionally, the team is an active stakeholder in the Group’s key projects impacting Lombard Odier’s investment offering (for instance, life insurance and sustainability).
The team head reports directly to the Group Chief Compliance Officer (GCCO) and is the main responsible for ensuring timely reporting of the team’s activities and of escalation of any risk issues to the GCCO
YOUR MISSION:
- Subject-matter expert on financial services regulations and industry practices.- Review and compliance advisory to related initiatives and queries, review, and validation of new business initiative sand perform specific regulatory assessments.- Responsible for monitoring of the Group’s investment and Staff activities (market abuse, conflicts of interests, Staff personal account dealing, best execution)- Oversight of the investment solutions unit to ensure adequate governance, segregation of functions and 1st LoD controls over the Group’s investment activities (e.g., Suitability & Appropriateness, investment selection, financial research, sustainability, product distribution, trading), as well as timely and comprehensive identification and escalation of potential risks to the Group Chief Compliance Officer, including quarterly controls on penetration of LO Group products in LO Group private clients portfolios.- Oversight of the Group’s and Swiss’ financial promotions and marketing framework to ensure the Group’s activities are in line with the “fair, clear and not misleading” principle and furthermore, do not incur in
- _greenwashing_- Responsible to perform regular reporting, to establish policies and procedures and give related trainings- Responsible, on a group level, for the harmonization and standardization of conduct standards, staff training, monitoring & controls, reporting and internal procedures- Provide support to Regional Compliance teams, as needed (e.g., internal, or external audits, investigations)
DESIRED PROFILE:
- Strong leader with a clear inclination to mentoring and coaching of employees- Strong skills in the financial services industry, in particular in Private Banking- Minimum of 10 to 15 years of relevant compliance or regulatory experience in the areas described above and in leadership positions (Investment Products and Services, Market Abuse, Conduct, Financial Markets, Financial Promotions)- Strong proven record of project management, process improvement and technology implementations- Excellent understanding of risk analysis processes, analytical mind, ability to prioritize multiple tasks, work under pressure and meet tight deadlines- Ability to summarize complex topics, to drive practical outcomes and to make sound decisions or proposals, including escalation when appropriate- Strong interpersonal, communication, presentation and influencing skills. In particular, a proven ability to foster productive relationships with Front Office staff and Senior Management- Open to change with a mindset solution oriented, pragmatic and of constant improvement- Excellent analytical and organizational skills and proficiency to assess Market Conduct Compliance risk- Proven understanding of financial
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