Chief Compliance Officer(m/w/x)

Anforderungen

• University degree in Swiss law, banking, legal, compliance, or comparable education
• 10 years experience in audit, compliance, legal, investigations or 5 years in similar managerial position
• Excellent knowledge of financial services and banking environment
• Very good French and English skills, other languages advantageous
• Solution-oriented, service-oriented, leadership experience, and organized personality
• Strong analytical skills, pragmatism, and independent working style

Aufgaben

• Lead compliance strategies for Swiss Wealth Management
• Develop and implement compliance policies
• Assess, monitor, and report compliance risks
• Investigate incidents in compliance-related matters
• Provide a proactive second line of defense
• Manage financial crime and integrity risks
• Oversee core compliance and conduct matters
• Govern bank-wide control frameworks
• Ensure compliance with FINMA and applicable regulations
• Manage the Compliance and Central File teams
• Support Group Compliance for consolidated supervision
• Design and execute comprehensive compliance plans
• Educate management and staff on compliance
• Update knowledge on recent regulatory changes
• Respond to Swiss government investigations
• Identify and mitigate hidden operational risks
• Create and oversee violation prevention systems
• Evaluate and improve control efficiency
• Revise procedures and reports periodically
• Direct internal investigations of compliance issues
• Conduct periodic internal reviews and audits
• Resolve audit points within prescribed timeframes
• Collaborate with internal and external auditors
• Lead and develop Swiss compliance personnel
• Chair and participate in formal committees
• Verify documentation of regulatory policies
• Communicate Swiss and Group compliance procedures
• Provide compliance reports per FINMA circulars

Ausbildung

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