84 days ago on lotuspartners.ch

MONITORING & SURVEILLANCE

LOTUS Partners Sàrl

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 Please refer to JobSuchmaschine in your application

MONITORING & SURVEILLANCE

MONITORING & SURVEILLANCE

Our client is a bank based in Geneva. We are looking for a:

 

MONITORING & SURVEILLANCE

Descriptif de poste

Risk assessments:

  • Identify legal and regulatory requirements and risks arising from them.
  • Identify new and emerging risks from business and regulatory developments and assessing their impact on the monitoring programmes and plans.
  • Performing the compliance risk assessments on a regular basis and updating risk assessments at the completion of monitoring reviews.

Monitoring/Surveillance:

  • Execute monitoring/surveillance activity including scoping, planning, resourcing, execution and follow-up of sometimes complex, multi-jurisdictional reviews.
  • Participate in monitoring visits to business units and central functions in line with the agreed plan. The monitoring visits may include any of the business areas covered by the team and any of the technical compliance areas.
  • Assist with and/or lead the production of formal reports identifying compliance issues and recommending changes to management controls and processes. 
  • Input to discussions with management and agree findings and recommendations. Where relevant, assist with theme-based reviews across the Wealth business (as agreed with the jobholder).
  • Adhere to the Monitoring & Surveillance procedures including recordkeeping and documentation requirements.
  • Ad-hoc reviews, with appropriate written or verbal reports as requested by compliance management.

 

 

Profil recherché

  • Practical experience of an appropriate risk based approach to monitoring/surveillance (gained either in Audit or Compliance monitoring).
  • Sound knowledge of Financial Services Authority or other regulatory body rules and regulations with specialist technical knowledge as above.
  • Flexibility to travel frequently.
  • Extensive experience, preferably in private client or investment management businesses.
  • Fluency in English is required.
  • Proficiency in other European languages would be a plus, mainly French.

 

All files will be treated with the utmost confidentiality


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Diana Tissot

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