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Job

Director Regulatory Compliance

  • Location

    Zurich

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Contact:

    Yaingy Chan

  • Contact email:

    y.chan@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 1 month ago

  • Expiry date:

    2020-11-18

  • Startdate:

    ASAP

Hamlyn Williams is working with a leading private banking client, who is looking to grow out their Investment & Wealth Solutions team. We're seeking a solution and target-orientated, and client-oriented Compliance Officer (Director/Exec Director) at 100% in Zurich.

Flexibility to work 1-2 days from the office (optional), and the remaining days at home.

As a Compliance Officer, you will, but not limited to:

  • Ensure the maintenance and ongoing development of the Compliance Framework for the Division is aligned with the legal and regulatory requirements and tailored to the risk profile and business needs of this Division
  • Perform ad-hoc and/or thematic reviews and deep-dives along the predefined Compliance Risk Management Cycle
  • Perform reviews on standard-setting and First Line of Defense controls
  • Review rule engines and workflow processes in the Digital Advisory Suite (“DiAS”)/Products & Services Portal and Business Model (“BMO” Rule Engine applications) and address potential gaps in case of ruleset changes/releases
  • Ensure that financial promotion material is in line with regulatory requirements
  • Monitoring and advising Investment Advisors/Portfolio Managers concerning the prevention of Conflicts of Interest
  • Support various regulatory-driven projects such as e.g. in the area of Sustainable Finance
  • Monitoring of regulatory developments and implementation of necessary measures as appropriate and required
  • Specialist support for Compliance colleagues @ our locations outside Switzerland

 

As a Compliance Officer, you will need:

  • A University law degree or similar legal education is a must
  • At least 10 years of experience in regulatory aspects of Advisory / Investment Management or compliance/risk management or audit experience
  • Excellent legal background and good knowledge of financial products & services and banking law
  • Profound knowledge of local and European financial market regulations (e.g. EU MiFID (I and II), MAD/MAR, FinSA, FMIA, )
  • Strong analytical skills, ability to assess the full scope of a problem, and general technical affinity
  • Excellent language skills in English and German (oral and written form)
  • Leadership experience and capabilities a plus

 

If you are a skilled Regulatory Compliance & Risk professional within Investment Management/Asset Management, you can apply by: 

Selecting the Apply button below or contact Yaingy Chan at y.chan@hamlynwilliams.com