Compliance Specialist
vor 3 Wochen
About the Role:
As a Compliance Officer at Kessler GmbH, you will play a crucial role in ensuring the company's compliance with internal policies and external regulations. Your primary responsibility will be to act as the primary liaison for the Relationship Managers, addressing all inquiries related to due diligence and AML/KYC procedures throughout client prospecting, onboarding, and ongoing management.
Key Responsibilities:
• Proactively identify, assess, and mitigate potential compliance risks during the onboarding process.
• Conduct thorough KYC (Know Your Client) and CDD (Client Due Diligence) reviews for new account openings and periodic reviews.
• Ensure accurate documentation of new and existing accounts, including special considerations like PEP status, sanctions compliance, and reputational risk management.
• Investigate complex cases involving potential compliance or reputational risks and devise mitigation strategies.
• Provide timely and accurate submission of suspicious activity reports to the MROS.
• Offer guidance to Relationship Managers on KYC and CDD matters.
• Engage with stakeholders across the company on compliance-related issues.
Requirements:
• Bachelor's degree in law, economics, finance, or a related field.
• Minimum of 5 years of Compliance experience in a Swiss financial institution or audit/consulting firm.
• Fluency in English and German, with proficiency in additional languages highly desirable.
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