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