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Compliance Monitoring & Surveillance Specialist

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For one of our clients, an international private bank based in Geneva, we are looking for a :

Compliance Monitoring & Surveillance Specialist

For one of our clients, an international private bank based in Geneva, we are looking for a :


Job description


  • Identify legal and regulatory requirements and risks arising from them
  • Identify new and emerging risks from business and regulatory developments and assessing their impact on the monitoring programmes and plans
  • Performing the compliance risk assessments on a regular basis and updating risk assessments at the completion of monitoring reviews
  • Execute monitoring/surveillance activity including scoping, planning, resourcing, execution and follow-up of sometimes complex, multi-jurisdictional reviews
  • Participate in monitoring visits to business units and central functions in line with the agreed plan
  • Assist with and/or lead the production of formal reports identifying compliance issues and recommending changes to management control and processes
  • Input to discussions with management and agree findings and recommendations
  • Assist with theme-based reviews across the Wealth business, where relevant
  • Adhere to Monitoring & Surveillance procedures including recordkeeping and documentation requirements
  • Ad-hoc reviews, with appropriate written or verbal reports as requested by compliance management

 


Profile required


  • University degree or equivalent
  • Relevant experience in a similar role within a private bank or a financial firm
  • Extensive experience in private client or investment management businesses
  • Broad base of Compliance knowledge or the willingness to learn the regulatory requirements for a number of business areas
  • Knowledge of Financial Services Authority or other regulatory body rules and regulations with specialist technical knowledge
  • Strong interpersonal skills enabling effective communications at all levels (written and oral)
  • Ability to multitask or manage a number of reviews at the same time
  • Interviewing skills and the ability to present, negotiate and influence effectively
  • Ability to provide information in report format
  • Strong writing skills
  • An enquiring mind, with the ability to assimilate and interpret information quickly
  • Willingness to work in isolation and under pressure in order to meet deadlines
  • Fluent in English and French (written and spoken)
  • Flexibility to travel frequently

 


All files will be treated with the utmost confidentiality

Kontaktperson

Website www.lotuspartners.ch

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