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Job Description For our Client, a fast-developing global investment company we are looking to recruit the head of compliance for Switzerland. The job is based in Geneva and will imply close collaboration with the global head of compliance and teams based in other jurisdictions. The main mission will be to contribute to strengthen the compliance function, activities and processes in line with the group policy and provide leadership across Switzerland. In more details:
Work with Business Units to assist in developing an improved Risk and Compliance Monitoring Programme per business unit;
Assess, improve and implement risk management strategies and compliance controls for the Group and the business units;
Review and adjust existing policies, procedures, reports etc. to identify risks or incidents of non-compliance;
Perform risk assessments to understand risk level, significance and scope per product, per client and per business unit;
See to it that internal policies and procedures are periodically reviewed to ensure same are kept up to date, and that new internal rules are drafted and implemented in light of regulatory or business changes;
Help perform AML/CFT checks during client on-boarding as well on-going transaction monitoring by the various business units;
Support with FATCA/CRS duties for the business entities including classification of our entities and our clients and reporting on an annual basis including liaising with various teams to collect and interpret data;
Review documentation produced by business units falling under the scope of compliance e.g. client due diligence questions and checklists, risk assessments reporting etc.;
Keep abreast of regulatory developments as well as evolving best practices in compliance and risk controls;
Prepare reports for senior management and external regulatory bodies as may be appropriate;
Conduct audits to ensure adherence with written and verbal policies and regulations and report back to business functions on deficiencies;
Produce and interpret reports of inspection to provide useful information in taking appropriate business decisions
Monitor compliance risk controls to identify deviations and provide recommendations on management of compliance issues
Correct and address issues of non-compliance in a manner that limits recurrence and promotes adherence to set rules
Organize training programs to keep company staff informed on the benefits and consequences associated with either complying or defying external or internal regulations
Liaise with authorities and professionals in relevant jurisdictions to analyse and develop standards for risk and compliance
Master degree in Law or Business Administration or Finance / Audit
Diploma or Certificate (DAS or CAS) in Compliance
Minimum 12 years of extensive and relevant experience in Compliance in Switzerland
Strong expertise in FINMA regulations and used in handling regulatory audits
Strong expertise in Compliance (AML, KYC, Sanctions, business ethics, personal data, fraud, etc.)
Knowledge of process and program design and implementation
Broad knowledge of investment / funds and wealth management
Demonstrating personal drive and capacity to deliver results
Excellent collaboration skills and capacity to work in a matrix organization
Autonomous and well-organized ; Gravitas.
Fluent in French and English (written and spoken)
Internal Number: 6323256
About UR Capital SARL
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