Description

In this senior leadership role, you will oversee compliance activities for a wealth management division, guiding teams across multiple countries while ensuring adherence to regulatory frameworks and fostering a culture of compliance.

Requirements

• •Minimum of 8 years of experience in a senior leadership role
• •Strong understanding of suitability, conflicts of interest, marketing compliance, cross border, ESG, and control framework
• •Proven experience in designing, implementing, and maintaining robust compliance frameworks
• •Strong sense of integrity and ethics
• •Reliability and trustworthiness
• •Proven leadership skills and commitment to team development
• •Proficiency in German and English; verbal and written communication skills in French and Italian are an advantage
• •Advanced degree in Law, Finance or a related field

Tasks

• •Lead and develop compliance teams in Switzerland and Germany
• •Foster cross-border collaboration and regulatory awareness
• •Provide expert guidance on Swiss, EU, and international regulations
• •Interpret and communicate regulatory requirements for private banking
• •Assess the impact of new regulatory requirements on the business
• •Align policies and procedures with regulatory requirements and best practices
• •Advise marketing teams on compliant promotion of banking products
• •Ensure adherence to private banking rules and client protection regulations
• •Conduct suitability assessments for client onboarding and product offerings
• •Develop and maintain a strong compliance control environment
• •Perform regular risk assessments and control testing
• •Enhance breach detection and escalation processes
• •Oversee investigations of compliance breaches and manage remediation
• •Maintain relationships with key regulatory bodies like FINMA
• •Ensure timely escalation of critical compliance matters to senior management

Benefits