Compliance Officer
Rothschildand & CO
Zurich
vor 6 Tg.

About us

As one of the world's largest independent financial advisory groups, we know that it takes a distinct perspective to make a meaningful difference to our clients’ business and wealth.

Rothschild & Co is a global and family-controlled group. We provide M&A, strategy and financing advice, as well as investment and wealth management solutions to large institutions, families, individuals and governments, worldwide.

Having been at the centre of the world's financial markets for more than 200 years we can rely on an unrivalled global network of more than 3,800 talented employees and a track-record of outstanding execution with 50 offices around the world.

Our integrated global network of trusted professionals and decision makers around the world provide in-depth market intelligence, meaning we can be closer to current issues than any other global financial institution in our core markets.

It is this scale, local knowledge and intellectual capital that allow us to provide a distinct perspective and effective long-term solutions for our partners.

Overview of Role

Ensure compliance with all applicable regulatory requirements affecting the Wealth Management business as well as provide advice to Client Advisors to ensure that the firm is compliant with the relevant regulations and legislations.

Responsibilities

  • Development and maintenance of the control environment of Compliance
  • Identify potential risks and design the respective controls (e.g. description of control scope and content) with regard to various businesses and processes (e.
  • g. AML / KYC, cross-border activities, staff dealing, intermediaries)

  • Performing of periodic controls or requested risk assessment within the given control environment (e.g. transaction monitoring, cross border etc.)
  • Document the investigations and their results accordingly and escalate potential findings
  • Initiation of remedial actions and tracking their timely resolution in collaboration with client-facing staff and business support
  • The preparation of periodic reports for the attention of members of the Compliance Department, Business Management, Executive Committee and Group Legal & Compliance
  • Provide ongoing compliance metrics and reports to compliance stakeholders (proficiency in Excel is a strong asset).
  • Collaboration with other risk control functions and competence centers within Rothschild & Co Group to further develop an effective control framework
  • Participate in various internal working groups
  • Update, develop and enhance the compliance program, the internal policies and procedures
  • Advising employees on compliance relevant topics and implementation of effective controls.
  • Where required, customer complaints management and escalation
  • Education and Qualifications

  • Strong educational background (Swiss law degree favourable)
  • A minimum of 2 - 3 years' experience in compliance, risk management, risk control or audit in the Swiss financial industry
  • Demonstrate knowledge and understanding of risk control and reporting techniques
  • Understanding of the wealth management environment
  • Experience, Skills and Competencies Required

  • Pro-active personality
  • Ability to handle differing complex situations and variable problems
  • Team player
  • Proficient in English and French or German (written and spoken)
  • Problem solving minded
  • Strong organizational skills and ability to meet deadlines
  • High quality standards
  • Reliable and accurate and discreet attitude
  • High sense of discretion and confidentiality
  • Ability to work under pressure
  • Good knowledge of all MS Office tools
  • Ideally good knowledge of Avaloq
  • If you are curious to learn more about us and have valuable experiences in a similar role, then please submit your CV and Cover Letter through our recruitment tool.

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