(Junior) Compliance Officer
(Junior) Compliance Officer
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Salary Not Disclosed
1 Vacancy
Job Description
About Us
Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the worlds financial markets.
Our expertise intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients communities and planet.
We have 4600 talented specialists on the ground in over 40 countries around the world enabling us to deliver a unique global perspective across four market-leading business divisions Global Advisory Wealth Management Asset Management and Five Arrows.
As a family-controlled business built on relationships we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Overview of Role
Ensure compliance with all applicable regulatory requirements affecting the Wealth Management business as well as provide advice to Client Advisers to ensure that the firm is compliant with the relevant regulations and legislations.
Responsibilities
- Execute compliance controls (i.e. market abuse monitoring payment screening sanctions screening) as part of the second line of defense ensuring the organization adheres to regulatory requirements and internal standards.
- Prepare and consolidate compliance reports including subsidiaries reporting for monthly and quarterly submissions to senior management. Support reporting obligations to FINMA and contribute to various regulatory reporting initiatives.
- Manage the banks policy and procedure framework conducting policy reviews coordinating feedback on Group policy updates and drafting compliance-related policies.
- Oversee the banks complaints reporting framework including analysis of root cause.
- Develop and oversee the compliance training framework ensuring employees receive necessary regulatory and policy training to maintain high compliance standards across the organization.
- Provide support to the Head of the General Compliance Team assisting in compliance-related projects process enhancements system implementations and control optimizations.
- Lead and participate in compliance-related projects collaborating effectively with different departments.
Education and Qualifications
- Strong educational background (University degree in law or economics preferred)
- Up to 3 years experience in compliance risk management risk control or audit within the Swiss financial industry
- Solid understanding of risk control and reporting techniques
- Familiarity with the wealth management environment
Experience Skills and Competencies Required
- Proactive and solution-oriented mindset
- Strong problem-solving and organizational skills
- Ability to manage complex and variable situations effectively
- Team player with a high level of reliability accuracy and discretion
- Excellent communication skills in English and French or German (written and spoken)
- Comfortable working under pressure and meeting deadlines
- High standards of quality and confidentiality
- Proficient in MS Office; knowledge of Avaloq is a plus
Benefits
- Rothschild & Co is committed to safeguarding and enhancing the health and wellbeing of all its employees. To support this Rothschild & Coprovides all employees with a range of healthcare services and benefits that aim to support their overall wellbeing
- We are conducive to creating a working environment and culture where people can succeed
- We provide a variety of inhouse trainings as well as tuition assistance for further education and training courses
- Everyone can choose to incorporate agile working principles into their working week
- We have learned a great deal about the adaptability commitment and resilience of our people. We believe there are opportunities for all of us to enhance our working lives and outcomes by applying a more flexible approach to where and when we work and up to 40% of your work time can be performed from home
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.
Required Experience:
Junior IC
Employment Type
Full-Time
