Compliance, Private Wealth Management Compliance, Associate (m|f|x) Zürich

Aufgaben

• Interacting with the global PWM business and compliance teams on a daily basis
• Having knowledge and understanding of different Swiss and EU rules and regulations and how they impact the PWM business
• Reviewing marketing materials that are used to pitch PWM products and services to clients
• Tracking, reviewing, and analysing regulatory updates and assisting with implementing necessary changes across the business
• Preparing supervisory meeting materials detailing key metrics and regulatory issues
• Focused conduct risk reviews
• Review of complex trade approvals
• Assisting with firm risk assessment processes for PWM business lines
• Responding to different regulatory examinations and inquiries pertaining to PWM
• Developing and implementing policies, procedures and best practices for PWM

Profil / Ihre Qualifikation / Ihre Persönlichkeit:

• Graduate degree in law, business, or other relevant program
• 3+ years of relevant experience preferable
• Fluent in in English and preferably in another Swiss language (German, French, Italian)
• Strong investigative, analytical and problem solving skills with ability to exercise sound and balanced judgment
• Excellent time management, analytical, and communication skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Familiarity with financial industry products and markets, as well as corresponding rules and regulations
• Proficiency with Microsoft Word, Excel, and PowerPoint
  

Preferred Qualification

• Knowledge of Swiss and EU regulatory environment
• Knowledge of products and trading strategies used in PWM, e.g. complex products, OTC, derivatives, structured products, alternative investments is advantageous
• Private wealth management / product compliance experience preferred
• At least three years of relevant post-undergraduate work experience, or, if holding a Masters, PhD, MBA, JD or equivalent, one to two years of relevant experience
• An ideal candidate should:
• Have the ability to quickly grasp complex concepts, including global business and regulatory matters
• Exercise strong judgement and decision-making in a collaborative consensus-driven environment
• Be interested in and willing to develop expertise in legal, regulatory and compliance issues in the financial industry
• Have strong project management skills and ability to see a task to completion
• Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
• Work well under pressure and have a positive, hands-on, “can do” attitude
• Be able to devise and implement creative and innovative solution
• Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
• Be a self-starter, with the ability to self-educate and work effectively with minimal supervision
• Have the ability to multi-task and adapt to new situations and a dynamic work environment

Kontakt

Leonora Canaj

Associate Human Capital Management

Standort

Claridenstrasse 25, CH-8002 Zürich