Compliance Officer

The position the Regulatory Compliance Officer supports the Regulatory Compliance function in ensuring adherence to Swiss regulatory requirements applicable to Private Banking, with a focus on Market Conduct, FIDLEG, Cross-Border activities, Third Parties oversight and Client Tax compliance (FATCA/CRS).

Key Responsibilities

Market Conduct

• Monitor employee personal account dealing and staff transactions.


• Support surveillance activities related to market abuse and conduct risk.


• Contribute to conduct-related reporting and control testing.

FIDLEG / FINSA

• Support client classification and reclassification processes (opt-up/opt-down).


• Review client transactions/documentation to ensure compliance with duty of information, suitability requirements.


• Assist in monitoring best execution and conflict of interest frameworks.


• Provide regulatory guidance to Front Office on FIDLEG-related matters.

Cross-Border

• Assess cross-border implications in client onboarding and account maintenance.


• Support review of employee travel activities and cross-border servicing restrictions.


• Maintain cross-border country guidelines and provide regulatory advice.

Third Parties & Client Tax

• Support outsourcing and vendor arrangements from a regulatory perspective.


• Assist in FATCA and CRS oversight, mainly documentation reviews and ongoing monitoring.


• Contribute to regulatory reporting and remediation processes where required.

Reporting Committees

• Assist to prepare reports, KRIs and other indicators to the regulatory compliance committees.

Qualifications & Special knowledge and skills required:

• Minimum 3-5 years experience in Compliance functions within Private Banking


• Experience with regulatory projects


• FATCA, CRS related experience is an assets


• Excellent Microsoft Office skills


• Knowledge of Latin American markets is an asset

• Knowledge of Swiss regulatory framework applicable to Private Banking & wealth management 

• Knowledge of financial products and regulatory requirements


• Team player and pro-active, willing to take responsibility


• Suits well in an international environment


• Strong intercultural and interpersonal skills


• Seeks to join the collaborative working environment of a dynamic international team and to share experience acquired to excel as a team


• Exceptional communication skills


• Very Good interpersonal relationship 


• University degree in Law or Business Administration or relevant experience by means of a Banking education with additional Compliance focused certifications   


• Compliance Degree (DAS or similar)