Junior Compliance Officer – Financial Services Oversight

A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF 300 billion and operating from over 25 offices across 4 continents.
 

With a history spanning over 225 years, Lombard Odier is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide advanced banking technology to other financial institutions.
 

"Rethink Everything" is our philosophy – it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients.

Junior Compliance Officer – Financial Services Oversight (12-month contract)

The Financial Services Oversight (FSO), part of the Compliance Unit of Lombard Odier, is responsible for maintaining the Group's Conduct  framework, which includes: the monitoring of market abuse, the management of conflicts of interest, and the oversight of personal account dealing, trading activity, and financial services. The FSO's daily activities are very varied and include a mix of controls, analysis, investigations and advisory as well as staff awareness through the provision of training.

YOUR MISSION:

As Junior Compliance Officer of the Financial Services Oversight, your tasks will include:

• Monitoring of securities transactions and processing of alerts of possible market abuse (insider trading, market manipulation), including investigations using a wide set of resources (internal documents, market data,  social networks);
• Monitoring of staff financial transactions to detect breaches of our internal directives and possible conflicts of interest with the Bank, its clients or another counterparty;
• Approving and providing advice on personal and professional situations of employees (external activities, personal relationships, gift management, exception requests) to prevent and manage possible conflicts of interest;
• Conducting oversight of the activities of other Group entities to ensure adequate consolidated supervision, and serving as a central contact point for all GCCR matters;
• Drafting and maintaining internal policies and procedures, as well as e-learning and live training, within the team topics perimeter;
• Ensuring adequate documentation and reporting of all activities so that information is complete, understandable and accurate;
• Reviewing marketing materials and corporate communications.

YOUR PROFILE:

• A university degree or comparable studies or equivalent in working experience in the financial industry sector;
• 1-2 years' experience in the financial services industry in a Compliance, Audit or Risk department (or other similar control functions), preferably in the Private Banking sector;
• Basic knowledge and understanding of financial markets, financial instruments and investment products;
• Proficiency in office software (Excel, Word, PowerPoint) and ease with modern technology;
• Analytic mind, capable of dealing with numbers and large volumes of data, as well and reading and analyzing long texts;
• Socially comfortable and able to handle difficult conversations with demanding counterparts;
• Strong eagerness to learn, solution oriented and proactive "hands-on" approach;
• Fluent in both French and English, capable of expressing him/herself in either language both orally and in writing. Any other language would be a plus;
• Experience with market abuse monitoring tools or the process of alerts would be a plus;
• Knowledge of the Swiss and European market conduct rules regulatory framework would be a plus (Swiss Financial Infrastructure Act and Ordinance, FINMA Circular 08/2013, European Market Abuse Regulations, Swiss Financial Services Act and European MiFID2 frameworks);
• Trustworthy, discreet, organized and flexible;
• Residence in Switzerland.

Our Maison's DNA is defined by five core values. Excellence drives us to be the best at what we do, while Innovation fuels our progress. Respect underpins every interaction, and Integrity shapes our actions. Together, we are One Team, united in serving our clients with unwavering dedication.

As a responsible and supportive employer, we promote a diverse and inclusive work environment for our employees and candidates. Diversity, Equity and Inclusion are woven into the fabric of our Maison's DNA, and we strive to ensure that our employees can fulfill both their personal and professional aspirations by encouraging internal mobility and individual upskilling programs. We firmly believe that building Diverse Teams contributes to our successes and to deliver on this, we actively embed Diversity, Equity and Inclusion in our business strategy.

It is an exciting time to join our Teams. All applications will be handled in the strictest confidence.