Regulatory Compliance Officer

Regulatory Compliance Officer

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 (, 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 (, 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.

jid7f9ab40afr jit0833afr