Compliance Officer Advisory Solutions & Investment Management,

  • Post Date: October 13, 2020
  • Applications 0
  • Views 297
Job Overview
Job content
Ensure the maintenance and ongoing development of the Compliance Framework for the Division Investment & Wealth Management Solutions aligned with the legal and regulatory requirements and tailored to the risk profile and business needs of this Division

Perform ad-hoc and/or thematic reviews and deep-dives along the predefined Compliance Risk Management Cycle

Perform reviews on standard setting and First Line of Defense controls

Review rule engines and workflow processes in the Digital Advisory Suite (“DiAS”)/Products & Services Portal and Business Model (“BMO” Rule Engine applications) and address potential gaps in case of ruleset changes/releases

Ensure that financial promotion material is in line with regulatory requirements

Monitoring and advising Investment Advisors/Portfolio
Managers concerning the prevention of Conflicts of Interest

Support various regulatory driven projects such as e.g. in the area of Sustainable Finance

Elaboration/Revision and implementation of relevant Policies and processes linked to Compliance

Establish and perform (compliance) trainings in various compliance topics

Monitoring of regulatory developments and implementation of necessary measures as appropriate and required

Specialist support for Compliance colleagues @ our locations outside Switzerland

University law degree or similar legal education is a must

Several years of experience in regulatory aspects of Advisory / Investment Management or compliance/risk management or audit experience

Excellent legal background and good knowledge of financial products & services and banking law

Profound knowledge of local and European financial market regulations (e.g. EU MiFID (I and II), MAD/MAR, FinSA, FMIA, )

Strong analytical skills, ability to assess the full scope of a problem and general technical affinity

Excellent language skills in English and German (oral and written form)

Good communication skills in conjunction with assertiveness, able to work on own initiative and being an excellent team player

Organized and reliable working style

Distinguished flexibility and efficiency, diplomatic and skillful handling, high sense of responsibility

Excellent knowledge of MS Office and strong IT flair

Solution and target-orientated while staying client-orientated with a critical mind and a strong sense of commitment to quality

Leadership experience and capabilities a plus

Job Detail
  • Offerd Salary120,000 CHF
  • Career LevelOthers
  • Experience4 Years
  • GenderBoth
  • INDUSTRYBanking
  • QualificationMaster’s Degree
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