Senior Compliance Officer for Trading
- Zweigstelle
- Geneva
- Eintrittsdatum
- 01.09.2025
- Art des Arbeitsvertrags
- Permanent
Description
Compliance Financial Markets
Mission
Analyze and monitor regulatory risks for the Swiss and foreign entities involved in the Treasury and Trading businesses and contribute to the control plan
Main responsibilities
Ensure that the Bank meets applicable laws, regulations and internal standards at Group level, especially in the context of new acquisitions.
Liaise with the entities experts to roll out a group approach.
- Act as Subject Matter Expert and person in charge of best execution monitoring at Group level (excluding Asia) for the Wealth Management and the Asset Management businesses for equities, fixed income, derivatives and structured products.
- Act as Subject Matter Expert on transactional regulatory reportings for the Wealth Management and the Asset Management businesses.
- Contribution to the analysis of IPO and new issues prorata allocation monitoring.
- Contribution to the analysis of US regulator requests in relation to CFTC, CME and ICE daily reportings on listed derivatives.
- Review and enhancement of the current controls.
- Update of related internal regulations, MFCs and procedures where relevant.
- Follow up of internal and/or external audit points in relation to key responsibilities.
- Contribution to Group Compliance projects in relation to key responsibilities.
Personal skills
- Capacity to deal with several matters simultaneously; - Good understanding of financial products activities, market conduct rules and Swiss regulation - Pragmatic and solution oriented; - Very good oral and written communication skills; - Fluent in French and English
Education
- Education: Master Degree
- IT Tools: Bloomberg : mandatory; Familiar with other trading platforms (e.g. Refinitiv, market axess): a plus
Experience
- Years of experience: 7-10 : senior
- Experience required: Experience in Financial Markets Compliance working for a Swiss or an international Bank or broker
- Experience in private banking: Mandatory
Language
- French: Mother Tongue
- English: Fluent
OTHER
- Swiss resident: Optional