Compliance Assistant - Reviews
Description du poste
As a Compliance Assistant, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, andwe are looking for different types of seniority profiles whose main tasks will be:
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Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB)
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Conducting enhanced due diligence analyses
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Drafting formal compliance assessments
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Providing support and advice to the front office and management
Depending on the level of seniority, the following tasks may also be required:
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Assisting the Manager in supporting the team on a daily basis, including providing responses to questions, conducting second-level reviews of team members' assessments and serving as a trusted role model in terms of work quality, efficiency and professional behavior
•
Serving as the key point of contact for complex cases
•
Optimization of internal processes, including the review and drafting of internal guidelines
As a Compliance Assistant, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, andwe are looking for different types of seniority profiles whose main tasks will be:
•
Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB)
•
Conducting enhanced due diligence analyses
•
Drafting formal compliance assessments
•
Providing support and advice to the front office and management
Depending on the level of seniority, the following tasks may also be required:
•
Assisting the Manager in supporting the team on a daily basis, including providing responses to questions, conducting second-level reviews of team members' assessments and serving as a trusted role model in terms of work quality, efficiency and professional behavior
•
Serving as the key point of contact for complex cases
•
Optimization of internal processes, including the review and drafting of internal guidelines
Qualifications
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Bachelor's degree, preferably in Law, Economics, International Relations, Political Science or similar (a Certificate in Compliance Management is a very strong asset)
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3-7 years of financial services compliance experience (prior experience in periodic reviews specifically is a very strong asset)
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Knowledge of the Swiss legal framework
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Excellent command of English and French (German is a strong asset)
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Analytical and methodological approach
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Structured and professional working style
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Interest and experience in data analysis (including Excel)
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Excellent writing and communication skills
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Strong team player who enjoys working in multicultural, dynamic, technological and international environment
Chemin de la Crétaux 33 0 Gland
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