Position :
Compliance Officer - Asset Management - Treasury & Trading
Office :
Start date :

Working hours :
Field :
CC - Compliance

Risk & Compliance is an independent division which monitors the activities to ensure they are fully in compliance with all relevant laws, rules and regulations while always keeping a close eye on clients & risk interests.The division is involved in the management of all the bank's risk operations, monitoring its activities to keep them within the defined risk framework, and participates in the approval process for new developments in products and services. It is dedicated to supporting our Bank business lines at the same time as protecting the Bank's interests and reputation.


Assist Asset Management (AM) Compliance teams in their activities and ensure that they meet applicable laws and regulations, internal standards and policies at Group level;

Conduct compliance controls related to AM business (fund management and distribution of financial product)

The job-holder will:

  • Assist with the on-boarding of institutional client relationships;

  • Monitor KYC and KYD review;

  • Get involved in regulatory projects

  • Conduct AML controls on clients transactions;

  • Conduct controls on portfolios/ mandates (cross trade, cancelled and amended trades, best execution, disclosure thresholds…)

  • Perform controls on market conduct rules;

  • Review Marketing documentation (producer and distribution sides);

  • Assist in the development and update of compliance manuals and key operating procedures and policies for AM.

Experience, Qualifications and Key Competencies:

  • University degree in Economics, Law or equivalent, Compliance Management certificate;
  • A minimum of 3/5 years experience in financial services industry as Risk/Compliance Officer

  • Good understanding of financial products and Asset Managementactivities, market conduct rules and Swiss regulations;

  • Analytical and diplomatic individual;

  • Pragmatic and solution oriented;

  • Very good oral and written communication skills;

  • Fluent in French and English

Swiss resident: mandatory


Recruiting Agencies are not required for this role

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This online recruitment system (hereinafter, ‘e-Recruitment Portal’ or ‘Portal’) is used by the Geneva headquarters of Union Bancaire Privée, UBP SA (hereinafter, ‘UBP’) in accordance with Swiss law, in particular with regard to data protection, and with the principles below. The e-Recruitment Portal allows any person (hereinafter, ‘Applicant’), excluding recruitment consultants and headhunters, to submit either an application for a vacancy listed on the Portal or an unsolicited application.

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