Group Conduct Risk Senior Compliance Officer
EFG International
Zurich, Switzerland
5 gg fa

Job Description

The Group Conduct Risk Compliance team is dedicated to help the bank to meet and supervise its regulatory requirements from a business impact and regulatory compliance perspective at the Group level.

The team is composed of 6 senior collaborators and spread over two locations in Switzerland (Geneva and Lugano).

Main responsibilities

Acting as a senior member of the Group Conduct Risk team in :

  • Ensuring that all material Conduct Risks (which include in EFG risks relating to suitability across all the service and product offering of the Group, cross-border , market conduct , conflict of interests , and risks related to third party relationships with independent asset managers and business introducers) across all EFG locations and businesses are appropriately identified, scoped, and mitigated, or that appropriate issues and actions have been defined with a clear and appropriate path to green for remediation;
  • Advising and supporting local Conduct Risk Teams as well as the first line of defence in all EFG locations in designing appropriate controls for their key risks, and in remediating any open issue affecting the design or operating effectiveness of the control environment;
  • Actively participating in all key projects of the Bank to address gaps, improvements or enhancements to the control environment, including those related to regulatory requirements concerning Conduct Risks topics, with a particular focus on suitability and cross-border requirements;
  • Performing regular consolidated supervision and oversight over EFG locations, including in designing and maintaining a compliance monitoring programme (control blueprint and thematic reviews) over Conduct Risks, and following up on all relevant issues and actions raised within the scope of the remit;
  • Leading Quality Assessment Programmes relevant to Group Conduct Risks;
  • Performing regular governance reporting;
  • Leading and coordinating the drafting of policies at Group level, and participate, where required, in any local policy or procedure related to such policies, and ensure appropriate follow-up on the implementation of such policies and procedures;
  • Participating in Group Projects where Group Conduct Risk insight, support or advice is required;
  • Provide insight in the identification and management of emerging Conduct Risks relating to the activities of EFG.
  • Skills and experience

  • Fluent in English (and preferably also in French and / or German and / or Italian)
  • Strong Risk assessment and management capabilities, with a focus on the proper management of non-financial risk in banks and asset managers;
  • Proven ability to provide expert compliance advice on private banking topics across multiple jurisdictions (particularly those where EFG is active), showing a deep understanding of business priorities, systems and processes to devise the most optimal solutions for EFG to remain within risk appetite.
  • Demonstrated experience in providing advice on suitability related topics in a private banking context will be a significant advantage;
  • Excellent communication skills, both written and verbal;
  • Strong skills to design and implement internal policies;
  • Significant attention to detail and to the practicalities of implementing policy requirements;
  • Strong ability to work and deliver quality work within short deadlines;
  • Proven ability to develop, implement and manage compliance program group-wide considering local regulations, and to oversee compliance activities and create and coordinate proper reporting channels;
  • Ability to provide Compliance training for Group employees;
  • Significant autonomy and leadership skills in driving complex tasks to completion and in leading across the Compliance organization to improve the quality of the advice and oversight provided by the Function and its overall effectiveness;
  • Established ability to interact with senior management and stakeholders in delivering advice or providing updates on compliance topics.
  • Our values

  • Accountability : Taking ownership for tasks and challenges as well as seeking continuous improvement
  • Hands-on : Being proactive to rapidly deliver high-quality results
  • Passionate : Being committed and striving for excellence
  • Solution-driven : Focusing on client outcomes and treating clients fairly with a risk-aware mindset
  • Partnership-oriented : Promoting collaboration and teamwork. Working together with an entrepreneurial spirit.
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