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Maintenance and enhancement of Swiss team Client Acceptance processes to drive continual improvement in operational efficiency, compliance effectiveness and providing the Swiss team with the operational support necessary to offer exceptional client service
Working with Relationship Managers and business heads to build and strengthen the relationship with Risk and Compliance
In respect of compliance matters, to act as the first line of defence for Relationship Managers and business heads and as their liaison with the second line of defence, Risk and Compliance. This includes client risk reviews
As first line of defence, to:
Review and manage log relating to conflicts of interest, breaches, complaints and operational incidents
Prepare new/existing client files for review and approval where required. This includes seeking additional information and documentation when not provided, obtaining KYC/CDD
Conduct client reviews 120 days after take on to establish all requirements are met/ relationship is developing as specified
Liaise with Risk & Compliance (and the Group's internal lawyers, where necessary) regarding all legal/regulatory changes and advice regarding the businesses for which this role is responsible
Implement relevant policies and procedures and workflow solutions, and changes to them, in liaison with Director, Head of Strategy and Operations and Partner, Head of Enablement and Head of IT, taking advice from the second line of defence where necessary
Report material risk matters to Risk and Compliance and assist in addressing and mitigating.
Input into change projects in liaison with other departments as required, coordinating where necessary
Undertake Risk Screen checks and Google searches, periodic review and transaction monitoring on clients
Attend bi-weekly operational meetings
Ensure the provision of timely and accurate monitoring and reporting, and production of relevant management information to the relevant Boards
Provide effective training / refresher training to Relationship Managers and business heads on compliance and AML/CFT matters, and assisting with new employee inductions and ongoing staff development
Review and develop the technical and compliance skills of employees who work on account of the Swiss team to ensure they meet both the current and future needs of the business
Work with Relationship Managers and business heads to ensure that new business is correctly presented to NBAC and ensure that the client is compliant in terms of JFSC regulations
The ideal candidate should possess the following skills:
Sound experience within the Financial Services Industry and in particular across the investment sector; fiduciary experience would be an advantage
Knowledge of relevant legislation and regulation would be an advantage, including FINMA and ARIF regulations.
Exposure to operational functions and an ability to communicate well with people, and speak/write the English language (minimum C1)
Comprehensive knowledge of relevant regulatory regimes with a full understanding of the risk and process implications for the business
Flexible and able to multi-task, setting appropriate priorities and adhering to deadlines
Good interpersonal and influencing skills and an ability to liaise and collaborate with individuals at all levels, being helpful and co-operative whilst working towards team goals
Confidence to deliver practical compliance advice balancing risk management and commercial considerations; Risk identification and management
Proven experience of working in a challenging and fast-moving environment, preferably cross multiple jurisdictions and with complex products
If you hold the above attributes and are looking to develop your career in an international environment, please send us your CV.
To be considered for this role, applicants must be either Swiss citizens or have a valid work permission.
Internal Number: 4670051
About UR Capital SARL
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