Senior Compliance Officer, High Risk

vor 2 Wochen

Zürich, Schweiz Union Bancaire Privee Vollzeit

Senior Compliance Officer, High Risk & PEP Reviews

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 client assessment activities of UBP Private Banking Zurich and Basel, with a focus on the Eastern European and EAM business to ensure adherence to applicable laws and regulations.

Challenges

Handling complex reviews and investigations autonomously from outset till completion, escalating red flags and finding appropriate resolution measures. Keeping track of cases progress and monitoring the outstanding points.

Main responsibilities

Conduct all aspects related to client reviews (periodic and ad hoc) with a special focus on Eastern and Central European Markets Prepare clients assessments for presentation to the Bank's various Committees Take ownership of specific cases or lead on projects related to such reviews Challenge the KYC information provided by the business and perform checks via internal and external database sources where appropriate Coordinate the commissioning of external due diligence reports where applicable Ensure follow-up on recommendations and conditions set out during the on-boarding process Ensure accurate accurate and meaningful reporting on metrics and key performance indicators on a regular basis in line with the Compliance reporting standards Prepare internal investigation memorandums to determine filing of Suspicious Activity Reports (SARs) Prepare and submit SARs to the Money Laundering Reporting Office Switzerland (MROS), take care of all interaction and follow-ups with MROS as well as Swiss Law Enforcement Authorities (Federal and Cantonal Prosecutors) 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 Monitor changes to business practices and products to ensure that AML controls and procedures are adequate to cover them

Education

Education: Bachelor Degree Certification: Degree in Law, Economics, Finance, Business Administration or similar Technical skills: Good practical knowledge of IT tools

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 Other: Advanced (Russian)

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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