Compliance Officer

Zürich, ZH, Switzerland

Job Description

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

  • Advice on various Compliance matters in connection with DBZ activities
  • Participation on yearly Compliance Risk Assessments
  • New product/initiative/transaction review & approval
  • Drafting and implementing adequate policies and procedures
  • Participation to key Bank projects
  • Monitoring and identification of regulatory changes, outsourcing projects and implementation, as appropriate
  • Preparation of regular and ad hoc reporting and MIs
  • Preparation and conduct of staff trainings
  • Close collaboration with Compliance officers and other functions (legal, AFC, business risk management etc.) in Switzerland and cross regions (espectilally U.K. and Germany)

Key Relationships

Business Line Compliance (Advisory Compliance), Branch Managers, Heads of Business, COO/Business Managers, other Infrastructure/Control functions.

Skills & Qualifications

  • At least 5 years of experience in Compliance or Legal or Control Functions
  • Strong knowledge of financial products ( such as for instance capital markets/trading activities, commodities trading, cash management and trade finance activities)
  • Curious, accountable, innovative, solution-oriented, persuasive personality with thorough analytical approach
  • Able to work independently and to interact with senior management
  • Excellent verbal and writing skills. Ability to produce high quality reports / presentations
  • Conducting oneself with the highest professional standards
  • Fluency in English and German, French is a plus
  • Legal education is a plus

Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

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Job Detail

  • Job Id
  • Industry
    Not mentioned
  • Total Positions
  • Job Type:
    Full Time
  • Salary:
    Not mentioned
  • Employment Status
  • Job Location
    Zürich, ZH, Switzerland
  • Education
    Not mentioned