Compliance Officer - Wealth Management

  • Posted: 19/02/2024
  • Salary: -
  • Location: Zürich, Switzerland
  • Job Type: Permanent/Fixed Term
I am looking for a Compliance Officer to join a Banking Group (Private Bank, Asset Management and Investment Bank). 
You will be directly reporting to the Head of Compliance and will be responsible for ensuring the legal compliance of the bank and all business processes.
The role is located in Zurich.

• Compliance with relevant anti-money laundering directives (including VSB16, VSB20, AML, AML-FINMA, and relevant FINMA-RS) and handling of any suspected money laundering cases
• Participation in the coordination and development of the AML control environment
• Monitoring of regulatory changes and FATF standards
• Management of directives
• Training of employees in the field of anti-money laundering (including VSB16, VSB20, AML, AML-FINMA)
• Administration and tracking of training
• Review of account openings (material review and control) and presentation of high-risk clients to management
• Monitoring and assessment of high-risk transactions (transaction monitoring)
• Monitoring of trading activities (e.g., combating insider trading)
• Review, reporting, and search for dormant bank relationships in opening documents and reporting to the relevant managers
• Preparation, updating, and optimization of internal cross-border directives
• Development of cross-border training concepts / consulting on strategic market orientation
• Monitoring and training of employees regarding cross-border activities
• Partner monitoring (external asset managers, delegates, intermediaries)
• Preparation, updating, and optimization of internal directives and corresponding monitoring and training measures
• Point of contact for internal and external audit for compliance issues and preparation of necessary documentation
• Contact person for compliance-related matters in communication with external entities (e.g., Federal Prosecutor's Office, MROS)
• Regular reporting to the management, the board of directors, and the parent company

• You have more than 5 years experience in anti-money laundering and compliance in a financial institution or consulting firm in an international environment 
• Basic knowledge in FATCA/QI/AIA
• Risk awareness and proportionality in case processing and decision-making
• Balanced personality capable of addressing compliance issues objectively in dialogue with client advisors
• Ability to work independently, meticulously, and reliably; legal education is advantageous
• Excellent analytical and conceptual skills
• Structured thinking and solution-oriented approach
• Excellent proficiency in German, English, and French
• Team spirit
Anis Soomaroo Associate Consultant

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