Senior Compliance Treasury and Trading
Union Bancaire Privée (UBP) is one of the largest family-owned private banks in the world. But what makes UBP really unique is its corporate culture, which combines modernity and tradition. Although UBP was founded in 1969, its origins can be traced back to the 17th century and the start of a long line of financiers and diplomats of whom Edgar de Picciotto and his descendants are the successors. Today, the Bank's staff draw their inspiration and drive from the founding family's subtle blend of strong moral values and pragmatism, which to this day remain the key to UBP’s success.
Assist the Treasury and Trading (TT) teams in their activities and ensure that they meet applicable laws and regulations, internal standards and policies at Group level.
Analyse and monitor regulatory risks for all local and foreign entities involved in TT businesses;
Conduct trade surveillance and market conduct controls for the above areas.
Manage TT Compliance team to deliver high standards of advice, guidance and surveillance in relation to the Bank’s activities;
Analyse, assess and develop tools to monitor activities in the above areas: best execution and market abuse monitoring; fair allocation of orders; derivatives trading in compliance with FinMIA and EMIR; regulatory reporting; Personal Account Dealing
Deliver the monitoring activity plan as agreed with the Group Head of Compliance;
In conjunction with local Compliance functions, perform group oversight to ensure that group Directives are complied with locally
Go-to person for the SIX Participants audit and for Internal and external audits on the Treasury and Trading business
Assist in the development and update of Compliance manuals and key operating procedures and policies for TT;
Prepare the reports required by the Group Head of Risk and Compliance;
Represent Compliance at the Financial Intermediaries (FIG) Group Committee and at the Structured products Committee;
Train employees (team and front) on new Compliance rules and provisions in relation to Treasury and Trading
University degree in Economics, Law or equivalent, CM certificate;
Years of experience:
+10 : senior
A minimum of 10 years experience in financial services industry as Risk/Compliance Officer of which at least 3 years in a similar function;
Extensive understanding of financial products, market conduct rules, Swiss and international regulations in financial markets;
Experience in private banking:
Analytical and diplomatic individual
Pragmatic and solution oriented;
Management and leadership experience;
Very good oral and written communication skills