Compliance Risk Manager
vor 1 Woche
As a crucial member of the Group Compliance team, you will be responsible for ensuring the effective implementation of the groupwide compliance framework across all Group entities. This includes defining, developing, and adapting the framework to align with evolving regulatory requirements, market practices, and the Group's strategic direction.
Key Responsibilities
- Develop and enhance the groupwide compliance framework to align with regulatory requirements, market practices, and the Group's strategic direction.
- Ensure effective implementation of the groupwide compliance framework across all Group entities, covering areas such as governance, financial crime, market access, market integrity, investor protection, and personal conduct.
- Oversee the implementation and maintenance of an internal control system to manage compliance risks across the Group, including the development of a robust second-line control testing framework and the utilization of compliance technology solutions.
- Conduct regular and targeted oversight visits and thematic reviews of Group entities to assess compliance with regulatory standards and internal policies.
- Prepare and submit periodic and consolidated supervision reports to Group governing bodies and regulatory authorities, ensuring compliance with regulatory requirements and providing an accurate assessment of regulatory compliance risks.
- Advise and support Group entities on various compliance-related matters, including the implementation and monitoring of the compliance framework, conducting compliance risk assessments, addressing regulators, external and internal auditor requests and findings, and managing compliance incidents.
- Participate in Group Compliance projects, ensuring successful delivery and collaboration with cross-functional teams and relevant stakeholders across the Group.
Requirements
- At least 3 years' experience in compliance in the private banking or asset management industry.
- Experience in a financial institution with a global network, with international exposure.
- University degree or advanced education, ideally in Law or Business Management. Certificate in compliance management or equivalent.
- Wide knowledge and general experience of compliance topics (conduct, financial crime, market access, market integrity, and investor protection). Strong understanding of international financial market regulations.
- High level of integrity, discretion, and ethical conduct, with a commitment to upholding the highest standards of professionalism and compliance.
- Well-organized, able to set and keep deadlines while working on multiple tasks simultaneously.
- Strong analytical skills, curious, and pragmatic.
- Excellent interpersonal and communication skills, ability to cultivate strategic partnerships with internal and external stakeholders.
- Professional fluency in both English and French.
- Must be resident in Switzerland or willing to relocate.
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