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Job

Compliance Officer (Investment Management)

Hamlyn Williams is working with an established International Private Banking client.  We're looking for a Compliance Officer who will be responsible for developing and maintaining the compliance framework of the Advisory Solutions and Investment Management business units.
 

Job Responsibilities:

  • Responsible for developing and maintaining the compliance framework of the Advisory Solutions and Investment Management business units
  • Ensuring that marketing publications of the Advisory Solutions and Investment Management business units comply with regulatory requirements
  • Monitoring and advising investment advisors/portfolio managers on avoiding conflicts of interest
  • Supporting projects
  • Responsible for drafting/revising and implementing corresponding instructions and processes with compliance aspects
  • Conducting training in the area of monitoring regulatory developments and implementing required measures in the area of responsibility
  • Specialist support of Compliance colleagues in foreign locations

Requirements:

  • Degree in Law (possession of a Swiss Bar, but not mandatory)
  • Min. 5 years of practical experience in private banking, preferably in compliance
  • Good banking expertise
  • Working experience in the regulatory environment, in particular, EU MiFID, MAD / MAR, Fidleg, Finfrag, KAG / UCITS, EMIR, MIFIR, SBA guidelines, as well as associated regulations, circulars, Q & As, RTs and similar (self-) regulatory standards
  • Stylish German and very good knowledge of English, French and Italian of advantage