Junior Compliance Officer(m/w/x)

Description

You will safeguard the bank's integrity by executing vital compliance controls and advising advisers, ensuring every aspect of the wealth management business meets strict regulatory standards.

Requirements

• •Strong educational background in law or economics
• •Experience in compliance, risk, or audit
• •Understanding of risk control and reporting
• •Familiarity with wealth management environment
• •Proactive and solution-oriented mindset
• •Strong problem-solving and organizational skills
• •Ability to manage complex situations
• •Reliability, accuracy, and discretion
• •Excellent communication in English and French or German
• •Resilience under pressure and deadline orientation
• •High standards of quality and confidentiality
• •Proficiency in MS Office and Avaloq

Tasks

• •Ensure wealth management regulatory compliance
• •Advise client advisers on legislative requirements
• •Execute market abuse and payment screening
• •Perform sanctions screening as second-line defense
• •Prepare consolidated monthly and quarterly compliance reports
• •Support reporting obligations to FINMA
• •Contribute to regulatory reporting initiatives
• •Manage the bank’s policy and procedure framework
• •Conduct policy reviews and coordinate feedback
• •Draft new compliance-related policies
• •Oversee the bank’s complaints reporting framework
• •Analyze root causes of client complaints
• •Review employee gift and entertainment requests
• •Monitor private mandates and conflicts of interest
• •Develop the compliance training framework
• •Oversee regulatory training for all employees
• •Assist with system implementations and process enhancements
• •Optimize compliance controls and internal standards
• •Lead and participate in cross-departmental projects

Tools & Technologies

Benefits