Head of Compliance Client Interests Protection & Cross Border
- Escritório
- Geneva
- Data de início
- 01.04.2025
- Horário de trabalho
- 100%
- Tipo de contrato
- Permanent
Mission
Supervise Investor Protection & Cross Border Compliance Teams, ensuring the Group and its entities comply with applicable laws, regulations, internal standards, and policies related to Investor Protections across the different Business Lines.
Main responsibilities
Key Management Responsibilities
- Supervise the Compliance Investor Protection & Cross Border team, providing high-quality advice, guidance, and surveillance for the Bank's activities at Group level.
- Supervise and coordinate the Compliance teams across different locations ensuring the entities complies with Group standards and local regulations.
- Engage in discussions with supervisory authorities and regulators as necessary.
- Execute the monitoring and control plan as agreed with the Group Head of Compliance.
- Participate in workshops, committees, and cross-functional projects.
- Foster efficiency initiatives.
- Organize and deliver training for employees on new compliance regulations and provisions.
- Prepare regular reports for the Executive Committee and Bank and the Group Head of Compliance.
Investor Protection Regulations
- Ensure the Group entities comply with Investor Protection related regulations (LsFIN, MIFID2 etc.).
- Ensure the Regulatory requirements on Investor Protection are properly identified in each entity of the Group, across the different Business Lines.
- Define and organize with the first line of Defense and other key stakeholders (Risk function notably) the proper governance applicable to Investors Protection related regulations.
- Define minimum Group standards and procedures applicable to the different entities across Business Lines
- Ensure Compliance Risk Assessments include Investor Protection related aspects.
- Define and update on a regular basis the control plan related to Investors Protection regulations.
- Ensure the control plans is properly executed.
- Assist the Business growth efforts in the development of new products and activities in compliance with Investor Protection Group standards.
- Prepare regular reporting for the Group Head of Compliance as well as for Compliance, Risk committees, Executive Committee and the Board of Directors.
Main Committees participation
- Product Platform Committee
- Portfolio Management Group (PMG) Committee
- Compliance Executive Committee
- Compliance with regulations and internal directives.
Personal skills
Key to have a pragmatic and solution-orienteed management style. Strong adherence to the company’s values: Dedication, Conviction, Agility, and Responsibility. Strong attention to detail, excellent written communication skills. Fluency in French and English; other languages considered an advantage.
Education
- Education: Master Degree
- Certification: University degree in Economics, Law, or an equivalent qualification, with a Compliance Management
Experience
- Years of experience: +10 : senior
- Experience required: Minimum of 10 years’ experience in financial services. Deep understanding of financial products, market conduct rules, and Swiss/international regulations in financial markets. Good knowledge of Investor Protection regulations. Ability to work in an international regulatory environment. Strong command of Compliance control and monitoring set-ups
- Experience in private banking: Mandatory
Language
- English: Fluent
- French: Fluent
OTHER
- Swiss resident: Mandatory