Senior Compliance Officer / Regulatory Expert for Sales & Trading Services
Senior Compliance Officer / Regulatory Expert for Sales & Trading Services # 075808
Switzerland-Region Zurich-Zürich | Full-time | Corporate Functions |
Job ID 075808English
An exciting position in the Compliance Sales and Trading Services & Trade Surveillance (Compliance STS & TS) department, which is responsible for providing compliance advice and surveillance of the Sales & Trading Services business. As an independent function it monitors business activities and performs regular and ad-hoc compliance risk assessments in order to minimize potential risks to the bank’s reputation and the violation of laws or regulations. Furthermore Compliance STS & TS develops and issues policies and conducts compliance trainings. We are looking for a Senior Compliance Officer / Regulatory Expert located in Zurich to support the Sales & Trading business in all regulatory and compliance matters.
- Maintaining a working knowledge of local and international regulatory requirements (e.g. MiFiD II, FinfraG, Dodd Frank, Volker etc.) and stock exchange rules applicable to the Sales & Trading Services business and providing advice and guidance with regards to these requirements and any changes to the Sales & Trading Services business.
- Participate in compliance related projects, initiatives or working groups relevant for Sales & Trading Services business
- Providing consulting services to management as well as employees in the implementation and supervision of compliance
- Provide training on compliance matters to staff members
- Ensuring compliance with external and internal regulations in order to actively manage operational, regulatory and reputational risks.
- Coordination and monitoring of regulatory and compliance requirements.
- Interaction with authorities and stock exchanges that will be relevant
- Higher Education (FH/University degree in economics or law or specific compliance training (e.g. Diploma of Advanced Studies in Compliance Management)
- Sound knowledge of financial products and markets
- Multiyear experience in banking and compliance, experience in Sales & Trading functions would be an additional asset
- Analytical thinking and mind set with the ability to work thoroughly and independently
- Good communicator and enabler with a proactive approach who takes full ownership of his/her area of responsibility
- Solution orientated with a pragmatic approach and strong ability to work with people and in a team
- Ability to work under pressure, to prioritize and to take clear decisions
- Good command of English/German is mandatory
Mr. G. Lehnhoff (HIOD 23) would be delighted to receive your application.
Please apply via our career-portal.
Nov 3, 2016