Compliance Officer; F​/M​/X

Job Description

For over 150 years, our dedication to being the Global Hausbank for our clients has been driven by our people – in around 60 countries and across more than 150 nationalities.

Their deep understanding, insights, expertise, and passion help our clients navigate an increasingly complex world – be it in our Corporate Bank, our Private Bank, our Investment Bank or our Asset Management division.

Together we can make a great impact for our clients home and abroad, securing their lasting success and financial security.

As a 2nd Line of Defense (LoD) function, the Compliance Department seeks to protect the Bank’s license 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.

In this role, you will support Central Compliance which is part of Swiss Regulatory Compliance team.

Central Compliance provides independent oversight and objective assurance to Senior Management on the design, adequacy and effectiveness of the Compliance Risk Control framework for the areas for which it has been allocated responsibility with a particular focus on governance, regulatory reporting, regulatory change management and forward looking challenge.

The Central Compliance Officer is based in Geneva or Zurich and will provide support on entity-wide Compliance governance matters, management information, regulatory oversight by working closely with other Compliance, AFC, Legal, and Risk teams, as well as internal and external business stakeholders to ensure compliance with the highest standards of control and processes across the Bank.

• Provide independent, proactive, and risk-focused Compliance support across central governance and regulatory oversight topics.

• Prepare and follow-up on Compliance management information, maintain dashboards, and periodic reports for senior management, Executive Board, and Board of Directors.

• Support Compliance governance meetings (such as Operating Oversight councils, Regulatory Oversight Council, etc.) by preparing materials, summaries, and follow-up action tracking.

• Support Regulatory Oversight Council activities by monitoring regulatory developments, risk assessments and by preparing relevant documentation and reporting for relevant stakeholders, including senior management and business units to ensure timely information on regulatory developments, supervisory expectations in compliance with the Bank’s regulatory framework.

• Support regulatory change and transformation initiatives, including impact assessments and implementation coordination. Assist in advising on ad-hoc and strategic Compliance projects, and the timely resolution of regulatory or internal investigations and enquiries.

• Review, maintain and regularly update global and local Compliance policies and procedures reflecting regulatory changes and industry best practice.

• Act as a key Compliance contact for regulatory surveys, audits, and recurring submissions to supervisory authorities and market infrastructures bodies.

• Support the management and escalation of Compliance-related incidents, surveillance matters, and internal investigations.

• Develop and deliver face-to-face Compliance training (in addition to digital e-learning sessions) to the business as requested/required in line with regulatory requirements and annual training objectives.

• At least 5 years of experience in in Compliance, Legal, Control Function, auditor or financial authority within Swiss financial industry

• Strong understanding of the Swiss regulatory landscape, financial regulations and governance principles

• Knowledge of financial products and good understanding of Wealth Management

• Curious, accountable, innovative, solution-oriented, persuasive personality with thorough analytical approach

• Detail oriented and well organized, structured mindset and comfortable interacting with a wide range of stakeholders (including Senior Management), able to work independently

• Excellent team…