Compliance Officer – Review Team (F/M/X, Temporary – December 2024)

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 Key Responsibilities:

  • Review client files to ensure adherence to regulatory requirements and internal policies and procedures and take remedial action as necessary
  • Conduct comprehensive and holistic Compliance analysis and provide recommendations regarding existing clients including PEP and high-risk accounts for individuals and legal entities
  • Assessments of KYC accuracy, completeness, and plausibility incl. source of wealth, flow of funds, tax compliance, risk classification etc to ensure that risks are adequately mitigated by Front office
  • Advise and support to Front office on matters relating to Anti-Money Laundering (AML), Know Your customer (KYC) and the Swiss banks' code of conduct in the context of the exercise of due diligence (CDB 20) and any other Compliance matters relevant to the periodic review
  • Collaboration with various stakeholders as necessary
  • Escalate potentially suspicious activity to the Financial Intelligence unit (FIU)

Additional Responsibilities

  •        Propose process, system and policy improvements and participate in work shops or projects
  •        Establish, maintain and share knowledge and best practices within the Compliance team and prepare  business cases or conduct training to Front office
  •        Support the Compliance team on other tasks as needed
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