Job Description

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For our client, a boutique swiss private bank with a global footprint, we are seeking a Regulatory Compliance Officer with the objective of supporting the Compliance Office. The ideal candidate is a highly skilled and seasoned professional who will be responsible for ensuring the Bank's adherence to all relevant regulations and guidelines, with a specific focus on FINMA obligations for cross-border risks and investment services.
Responsibilities

• Develop and implement compliance policies and procedures in line with FINMA guidelines and regulations related to cross-border risk and investment services (e.g., FinIA, FinSA, FinIO; familiarity with European MiFID II is preferable)

• Monitor and assess the Bank's compliance with FINMA obligations and the Bank's internal regulations, including conducting gap analysis and risk assessments

• Perform 2nd level controls and report related outcome to the Bank's stakeholders

• Provide guidance and support to the Bank's management and staff/1st level of defense on compliance-related matters, ensuring a strong compliance culture throughout the organisation

• Stay up-to-date with changes in external and Group's regulations and guidelines, and communicate any relevant updates to the Bank's stakeholders

• Conduct training sessions and workshops to educate employees/1st level of defense on compliance requirements and best practices

• Collaborate with internal departments to ensure a coordinated approach to compliance

• For Supervisory Authorities, give support to inquiries and requests for information in a timely and accurate manner

• Assess and report any compliance breaches or suspicious activities, and recommend appropriate remedial actions

• Update files and documentation for Audit and Supervisory bodies, ensuring proper document quality and retention

• Conduct periodic reviews of the Bank's compliance programmes and map of controls to identify areas for improvement and implement necessary changes

• Maintain accurate and up-to-date records of compliance activities, including documentation of policies, procedures, and training materials

• Prepare and submit regulatory reports and filings accurately and within specified deadlines

• Assist in the development and implementation of compliance monitoring systems and tools to enhance efficiency and effectiveness

Profile

• University studies in law, economics or related fields

• A relevant professional certification (e.g., CAS in Compliance) considered a strong asset

• Minimum of 5 years of experience in compliance within the banking or financial services industry, with a strong focus on FINMA obligations for the representation of foreign collective investment schemes, investment services, and cross-border risk

• In-depth knowledge of Swiss financial regulations, particularly those related to regulatory compliance

• Strong analytical and problem-solving skills, with the ability to interpret complex regulations and apply them to practical situations

• Excellent communication and interpersonal skills, with the ability to effectively communicate compliance requirements to stakeholders at all levels of the organisation

• Proven track record of successfully implementing and managing compliance programmes within a banking or financial services environment

• Open-minded in evaluating contexts and committed to taking care of the subject matters

• Detail-oriented and highly organised, with the ability to manage multiple tasks and meet deadlines

• Ability to work independently and make sound decisions, while also collaborating effectively with cross-functional teams

• Strong team spirit, with collaborative and positive approach

• Proactive and self-motivated, with a strong commitment to maintaining the highest standards of compliance and confidentiality

• Good English and French, another language considered an asset

• Very good organisational skills and time management

• Proficiency in MS Office; PM1, FINNOVA is a plus

• Swiss domicile

Interested? Please submit your full application including work certificates and diplomas.
Only short-listed candidates will be contacted. Many thanks for your kind understanding.