As a 2nd Line of Defence (LOD) function, the Compliance Department seeks to protect the Bank’s licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connection with the Bank’s regulated activities, and driving a culture of compliance and ethical conduct in the Bank. It seeks to provide independent and objective assurance to the Management, on the adequacy of the design and effectiveness of the Compliance Risk control framework for the areas for which it has been allocated responsibility. Compliance also seeks to provide independent, proactive and forward looking challenge and advice to senior managers as well as all employees.
Overview of Role
Compliance Officer based in Zürich who will provide proactive and sound advice on Compliance and regulatory matters to business partners in the Corporate Bank (CB) and Origination and Advisory (O&A) and Research and will work closely with other functions of the Bank to ensure compliance with the highest standards of control and processes.
Role and Responsibilities
Key Relationships
Business Line Compliance (Advisory Compliance), Branch Managers, Heads of Business, COO/Business Managers, other Infrastructure/Control functions.
Skills & Qualifications
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