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Compliance Manager
vor 5 Monaten
**Your field of responsibility**
Join us as a Compliance Manager within Market Conduct Surveillance, an integrated conduct surveillance team specialized in detecting and preventing market abuse, unauthorized trading, fraud, unacceptable conflicts of interest and breach of information barriers. We are a dynamic team supporting our mission of serving as a robust, independent second line of defense within the Chief Compliance Officer division.
Responsibilities include, but are not limited to, the following:
- Lead a team of Conflicts Surveillance analysts identifying and investigating risk indicators produced by next generation compliance systems with a focus on conflicts of interest/insider dealing including breaches of the Bank’s Information Barrier and Restricted List policies, as well as performing regular Trader Contextual Surveillance (TCS) duties.
- Support analysts in their analyses, providing appropriate guidance/training, sharing feedback on escalated alerts/cases and QA findings, supervising the analysts’ work to verify monitoring quality and identify remaining knowledge gaps.
- Act as a Floor Surveillance Officer by investigating Conflicts Surveillance and Trade Surveillance analyst identified potential violations and abusive trading activities, and, if appropriate, further escalate cases to governance forums for potential regulatory filings in accordance with the Global Alert Disposition process. Contribute to periodic Compliance and Market Abuse Risk Assessments in your market abuse/information barriers SME role as FSO.
- Maintain proven relationships with high-level business partners (e.g.e.g., Front Office, Control Room, Coverage Compliance, regional FSOs and Trading Desks).
- Undertake primary responsibility for executing ad hoc enhanced surveillance reviews of potentially suspicious client/employee trading activity based on regulatory and management enquiries.
- Work closely with Technology to implement changes to existing surveillance controls and contribute to the deployment of new ones where vital;vital, including the drafting of business requirement documents and participating in user acceptance testing.
- Identify risks and contribute to the ongoing development of core market conduct controls to ensure effective and efficient compliance with the domestic rules and regulations.
- Provide metrics to senior management on the results of surveillance activities.
- Maintain manuals and procedures relating to Conflicts Surveillance.
- Manage multiple critical tasks in a fast-paced environment.
**Your future colleagues**:
Market Conduct Surveillance is part of CCO Swiss Bank, with a diverse team of experienced compliance surveillance professionals located in Zurich. We are responsible for reviewing and evaluating potential incidents of violation of market conduct using automated surveillance systems and risk-based compliance tools. We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the Bank’s D&I ambition which is an integral part of our global cultural values.
This position offers remote working opportunities for an agreed amount of days per week.
**Your skills and experience**
We are looking for a highly dedicated professional who is keen to take the initiative and able to navigate complex environments:
- Standout colleague with excellent interpersonal, written and oral communication, and presentation skills.
- Standout colleague with excellent communication and presentation skills and who continuously shows a positive attitude.
- Excellent analytical and problem-solving skills with the ability to independently Strong analytical problem solver who has the ability to independently assess risks, demonstrates critical judgement regarding business conduct, and escalates and reports with transparency.
- A highly motivated person individual who brings natural curiosity and the willingness to shape the way we work.
- Advanced organizational skills including the capability to handle a multitude of parallel tasks and inquiries, including the ability to prioritize effectively, and to work under pressure without compromising quality.
- Strong Sound product knowledge (equities, fixed income, options, structured products etc.) and proven understanding of securities trading and corresponding laws, rules and regulations.
- Relevant educational background in an area related to Business Administration, Political Sciences, Law, Risk Management or similar; experience in working in a highly regulated organization.
- Excellent written and spoken skills in English; German would be considered as a plus.
- At least 5 years of relevant experience working in a highly regulated organization; prior Compliance experience is required. Experience in insider trading/market manipulation detection and investigation is of a strong advantage.
- People leadership experience of advantage.
- Understands the value of diversity in the workplace and is dedicated to fostering an i
