Compliance Officer High Risk Client

vor 3 Wochen

Zürich, Schweiz Union Bancaire Privee Vollzeit

Compliance Officer High Risk Client & PEP Reviews – 6 months

Description

Risks and Compliance is an independent division which monitors the Bank's activities to ensure they are fully in compliance with all relevant laws, rules and regulations while always keeping a close eye on client's interests. The division is involved in the management of all the Bank's operations, monitoring its activities to keep them within the defined risk framework, and participates in the approval process for new developments in products and services. It is dedicated to supporting our Bank business lines at the same time as protecting the Bank's interests and reputation.

Mission

Handling the day-to-day spectrum of the review activities regarding High Risk Clients and Politically Exposed Persons (PEPs) of UBP Private Banking Zurich and Basel.

Challenges

Ensure adherence to applicable laws and regulations, including AML, CTF, Sanctions, anti-bribery and corruption laws, tax compliance as well as internal policies and procedures.

Main responsibilities

Perform holistic and in-depth ad hoc as well as periodic reviews of High Risk Clients and PEPs across all Markets covered by the Bank, including adverse news investigations, reputational assessments and transactional analysis

Day-to-day collaboration and interaction with all PB Front Markets to ensure timely clarification, remediation or further investigation on matters and red flags related to High Risk Clients and PEPs

Prepare internal investigation memorandums to determine filing of Suspicious Activity Reports (SARs) Provide guidance, training, support and relevant information to RMs related to any of the above activities Liaise and work with other Compliance functions in Zurich and Geneva in order to obtain a holistic client view and align on Group Compliance programs Assist with departmental projects and initiatives as/when required

This is a 6-months role, 100%, based in Zurich

Education

Education: Master Degree Certification: Degree in Law, Economics, Finance or Business Administration

Experience

Years of experience: 3-7 : intermediate Experience required: A minimum of 3 - 7 years’ experience as Compliance, AML and/or KYC specialist in Private Banking or similar role, very good understanding of risk management and controls Experience in private banking: Mandatory

Language

English: Fluent

Personal skills

Swiss resident: Mandatory Strong analytical and communication skills Commercial awareness and solution focused Ability to work independently and take decisions and set priorities

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