Client Reviews – Compliance

Vor 6 Tagen

Zürich, Zürich, Schweiz Rigby AG Vollzeit

Tasks and responsibilities:

  • Conduct holistic client reviews of High and Highest Risk Clients (incl. PEP), including transaction analyses
  • Document and review all aspects of the client relationship
  • Take appropriate compliance actions, adequate risk mitigating and remediation measures
  • Review client data and related transactions from a compliance perspective, by evaluating KYC accuracy, completeness and plausibility, SoW corroboration
  • Document investigation results in a concise and adequate manner
  • Escalate issues identified along the review process, while initiating and monitoring mitigation measures to reduce the Bank's risk exposure, in line with the bank's risk appetite
  • Identify potential breaches against internal policies and liaise with other teams to initiate respective compliance actions
  • Closely collaborate with partners across all three Lines of Defence (Relationship Managers, Front Risk Management, Compliance and Internal Audit), as well as other functions and domestic and foreign group affiliates

Must-have criteria:

  • Extensive experience in Legal, Compliance or Audit at a globally operating bank
  • Knowledge of money laundering developments and international best-practice standards
  • Ability to define problems, collect data, establish facts and draw valid conclusions: ability to interpret an extensive variety of data and deal with complex situations
  • Ability to effectively apply working knowledge of global AML/CFT regulations and standards, and current money laundering schemes to effectively identify and mitigate risks
  • Good knowledge of MS Office and affinity to other applications
  • English (B2+)
  • Any Compliance-related training
  • Flexible in a dynamic environment
  • Independent way of working

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