Compliance Assistant
Wer sich für eine Karriere bei Lombard Odier entscheidet, ist für einen renommierten, globalen Vermögensverwalter und Asset Manager tätig, der sich auf nachhaltige Investitionen fokussiert. Wir sind eine unabhängige und innovative Bank erster Wahl für private und institutionelle Kunden. Unsere Gruppe ist eine der bestkapitalisierten weltweit. Wir verwalten rund CHF 300 Milliarden und sind auf vier Kontinenten von über 25 Niederlassungen aus tätig.
Mit unserer über 225-jährigen Geschichte sind wir ein Investmenthaus mit umfassendem Angebot an diskretionärer und beratender Portfolioverwaltung sowie Finanzdienstleistungen. Unsere hochmoderne Technologie-Plattform vermarkten wir auch erfolgreich an andere Finanzinstitute. Über Lombard Odier Investment Managers bieten wir Vermögensverwaltungsdienstleistungen und Anlagestrategien an.
"Rethink Everything" ist unsere Philosophie – sie steht im Zentrum unseres Handelns. Wir sind durch mehr als 40 Finanzkrisen stärker geworden, indem wir die Welt um uns herum ständig neu gedacht haben. So bieten wir unseren Kundinnen und Kunden stets neue Anlageperspektiven.
YOUR ROLE
DDC Administration, Organisation and follow up:
Meeting planning, attendance log, meetings management
Template maintenance and evolution
Submissions planning, tracking and deadline management
Agenda preparation and distribution
Minutes preparation and distribution
Scanning and archiving of minutes and decisions including signed minutes.
DDC conditions monitoring:
Ensuring all decisions from DDC are correctly assigned and tracked by ensuring they are correctly captured in the follow up tool and reported
Prepare reliable MI for management on DDC conditions monitoring
Up-date the systems following DDC decisions (risk overrides, assessment insertion in CRM, etc.)
Data controls/data management:
Establish and execute regular controls on data quality including on risk codifications, investigate discrepancies and remediate/escalate for remediation
Maintain and manage the internal Watchlist:
Insertion of the names into the system with details of the decision and supporting documents;
Respond to queries on names inserted and where required provide the reasons for the names in the list;
Coordinate with the different booking centres to ensure the information is shared when cases are escalated;
Assist with the process of removing names (if warranted and ensuring the right approvals are obtained prior to any removal.
Up-date the list on a regular basis (deceased persons, etc.);
Ensure timely follow up of escalations.
Electronic and Physical records management:
Maintain integrity of physical and electronic files with particular attention to ensuring Client identifying files and documentation are appropriately stored electronically and physically.
Support in archiving/scanning historical decisions to ensure a paperless management of Client files going forward and ahead of move to OneRoof
Others:
Account closure reviews and escalation to the trust officers for any matters to consider
Manage the compliance on-boarding mailing box and ensure timely action responses.
Assist with system searches at Group level for names and documents;
Assist the Group Head Financial Crime Compliance head with any ad hoc projects
YOUR PROFILE
Ideally holder of a university degree or equivalent
The position does not require pre-knowledge or an experience in compliance, but the candidate should be eager to learn
Ideally the candidate should a junior business manager with preference for a person who worked in a bank
Be experienced in using Excel spreadsheets, PowerPoint and Word
Sense of organization and flexibility in performing different tasks at the same time
Attention to details and meticulous when it comes to data handling and reporting
Curious and strong will to learn and be part of a dynamic team that is embracing changes
Understands complexity and the consequences and impact of actions / processes
Interpersonal skills and ability to clearly communicate to peers and management
English and French written and spoken.
Fünf Werte definieren die DNA unseres Hauses. Exzellenz motiviert uns, die Besten unseres Gebiets zu sein, und Innovation ermöglicht unseren Fortschritt. Respekt ist das Fundament unserer Interaktionen, und Integrität leitet unser Handeln. Gemeinsam sind wir ein Team, das sich mit leidenschaftlichem Engagement in den Dienst unserer Kundinnen und Kunden stellt.
Should you recognise yourself in this mission statement, we would be happy to receive your application. It will be handled in the strictest confidence.
