Senior Compliance Officer

Vor 3 Tagen

PlanlesOuates, Schweiz Lombard Odier Vollzeit

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.

YOUR MISSION:

Operational tasks

Oversee the day-to-day activities of the Geneva based onboarding team by providing expert advice, direction and support to team members to ensure efficient and effective onboarding reviews via consistent application of policies and procedures;Ensure daily case distribution of account openings subject to medium, high, very-high risk and PEP classification by expertise and capacity;Ensure quality control for cases requiring Due Diligence Committee presentation due to elevating risks (high risk, very high risk and PEP clients)Perform quality control for daily overnight screening performed by the teamLead testing control of low risk account validations performed by 1LoDEnsure identification of new talents, their integration and onboarding (access setup, training, quality control, etc.);Be a key interlocutor for the first line of defense across all markets, including 1LoD review teams and business risk management units;Support the Head of Client Onboarding and Review with internal and regulatory audits focusing on client onboarding;Participate to tactical and strategic projects in order to enhance onboarding review process, systems and toolsSupport defining reviewing and developing standard operating procedures and guidelinesAssist the Head of Client Onboarding and Review with the treatment of escalated cases/queries;Act as sparring partner to Zurich based Onboarding Team and Client Review Team as well as other CMPL colleagues and stakeholdersPromote the team’s dynamics and strengthen collaboration with other groups/departments

Strategic tasks

Identify shortfalls in and/or potential improvements to policy and process with proposal how to enhanceAssist the Head of Client Onboarding and Review with identifying complex, sensitive and emerging issues, and propose policies, strategies and recommendations to develop effective compliance frameworks;Proactive identification of quality and process deficiencies with first line with proposal how to addressParticipate in and lead (where applicable) business improvement initiatives including the development and maintenance of IT systems, policies and business process to improve operational efficiency and effectiveness.

Management tasks

Coach, mentor and provide feedback to improve performance and develop skills of team members; initiate performance management actions where applicablePerform daily capacity management and ensure business continuity in case of absences. Inform Head of Onboarding and Review in case of sustainable shortcomings faced for strategic resolutionSupport the Head of Onboarding and Review in the strategic setup of the client onboarding and review unit, including identification of new talentsAssess qualitative (profile) and quantitative (number) needs of staff and submit a proposal to the Head of Onboarding and Review.

DESIRED PROFILE:

10 years of experience in Due Diligence and AML work in the financial services industryMinimum 3 years of experience as manager / team lead in a run the bank organization subject to transformation and innovationFluency in French and English is mandatory with additional languages as nice to have assetUsed to handle complex client cases such as High Risk, PEP classified clients and Complex StructuresHaving thorough experience of handling various aspects of due diligence such as AML, CDB, FATCA, Tax and CRSBachelor’s degree in law (or equivalent) or evidence of comparable academic / work achievementAbility to summarize complex topics, to drive practical outcomes and to make sound decisions or proposals, including escalation when appropriate, as well as the ability to work well under pressure and against short deadlinesCapability to guide compliance officers in developing and writing detailed compliance assessments in English with clear documentation of risks and development of mitigantsStrong interpersonal, communication, presentation and influencing skills. In particular, a proven ability to foster productive relationships with front office staff and senior management;Resident in Switzerland. 100% office job in Geneva with no possibility of remote work.

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.

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