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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.
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