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CHCH10 - BJB Bank Julius Baer & Co. Ltd.

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Compliance Officer - Intermediaries(m/w/x)

Zürich

VollzeitVor OrtBerufserfahren

Nejo KI-Zusammenfassung

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Onboarding and risk assessment for financial intermediaries and finders. 3-5 years intermediaries compliance experience required. Hybrid work, 4-day work week.

Anforderungen

Bachelor's degree in law, economics, business administration, or banking-related subject
3-5 years experience in Intermediaries Compliance and Risk Management, Audit, or Compliance
Knowledge of Swiss regulatory environment, AML regulations, and client documentation standards
Good MS Office knowledge and IT flair
Strong personality with good organizational, operational, and communication skills
Ability to work under pressure, excellent analytical, teamwork, and problem-solving skills
Proficient writing concise assessments, strong integrity and discretion
Independent, efficient, meticulous work method, solution-oriented thinking
Fluency in English, additional languages advantageous

Aufgaben

Act as a compliance contact for Intermediaries and Finders
Perform Intermediaries and Finders onboarding
Conduct periodic reviews of Intermediaries and Finders
Perform detailed risk assessments for Intermediaries and Finders
Review Know Your Intermediary (KYI) profiles
Support relationship managers with Compliance matters
Advise management on Intermediaries and Finders Compliance
Supervise Compliance matters related to Intermediaries and Finders
Conduct Anti-Money Laundering (AML) investigations
Review local policies and procedures
Identify serious cases of non-compliance
Investigate serious cases of non-compliance
Collaborate with internal stakeholders
Collaborate with external stakeholders
Instill a Compliance culture in employees
Mitigate legal risks
Mitigate regulatory risks
Mitigate sanctions risks
Mitigate reputational risks
Support Compliance projects
Follow up on internal audits
Follow up on regulatory audits
Provide training on Intermediaries and Finders
Provide training on Compliance topics
Provide training on AML topics
Develop training materials on Intermediaries and Finders
Develop training materials on Compliance topics
Develop training materials on AML topics
Support the team with Intermediaries and Finders tasks
Assist with framework setting for Intermediaries and Finders
Assist with methodology definition for Intermediaries and Finders

Berufserfahrung

3 - 5 Jahre

Ausbildung

Bachelor-Abschluss

Sprachen

Englisch – verhandlungssicher
ADDITIONAL – Grundkenntnisse

Tools & Technologien

MS Office

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