Compliance Officer - Securities (m/w)
Michael Page
Zürich, CH
vor 4 Tg.
  • Assisting relevant governance bodies, especially by acting as member and secretary of the index oversight committee
  • Ensuring compliance with internal policies and procedures derived from the IOSCO and EBA / ESMA principles
  • Maintaining and further develope control framework to ensure the integrity of benchmarks
  • Coordinating periodic audits with external firms including a standardized audit for outsourcing clients
  • Managing complaints under the complaints policy
  • Advising the business regarding the regulatory dimension of commercial activities
  • Ensuring compliance with other regulations concerning index linked financial products (e.g. UCITS), market integrity and treatment of insider information as well as international sanctions
  • Train management and staff
  • Solid academic background, at least a master in economics or law
  • Proven track-record in a comparable role, preferably in the index industry or a similar environment, involving
  • The set-up and maintenance of compliance structures
  • Engagement in licensing procedures and interactions with supervisory authorities
  • Dealing with outsourcing requirements
  • Impact assessments of new laws and regulations
  • Strategic advice to management and affected units
  • Contributions to the development of industry standards and best practices
  • Interactions with customers and auditors
  • Ability to manage internal projects related to the implementation of new regulations
  • At least 7 years financial sector experience, preferably in a compliance role
  • Ability to propose, implement and enforce viable solutions to achieve compliance while adequately considering business needs
  • Ability to conclude projects successfully with tight deadlines and limited resources
  • Efficient and highly accurate work approach with attention to detail required
  • Ability to analyze relevant developments quickly and thoroughly
  • Excellent command of English and German required
  • Very competitive package

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