Regulatory Compliance Officer (m|f|x) Zürich

This role is within the Swiss Regulatory Compliance team and covers a wide array of Compliance responsibilities including advice, advocacy, training, surveillance, and monitoring of controls as part of our comprehensive programme for ensuring compliance with Swiss laws and regulations as well as the global, and regional standards, policies, and procedures of Deutsche Bank, with the ultimate aim of protecting the interests of our clients and the integrity and reputation of Deutsche Bank.

Tasks

• Advise and support the coverage of Swiss-based businesses on applicable laws and regulations, including cross border, suitability and appropriateness regulations and broader Swiss regulatory framework.
• Continuously monitor evolving regulatory requirements, support the Regulatory Oversight Committee to ensure effective governance and timely updates. Ensure that relevant stakeholders, including senior management and business units, are informed of any regulatory changes or updates, provide guidance to ensure full compliance with evolving regulations.
• Perform the Level 2 controls within the global Compliance Monitoring Programme and supporting it by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan.
• Ensure global and local Compliance policies and procedures are reviewed and updated on a timely basis, incorporating regulatory changes and industry best practice.
• Assist in the execution of ad-hoc and key Compliance projects, and the timely resolution of regulatory or internal investigations and enquiries.
• Conduct regular compliance risk assessments, considering an array of contextual data including regulation, policies, procedures, controls, training, and governance structures, escalating, and assisting in the remediation of any identified gaps.
• Develop and deliver face-to-face Compliance training (over and above any global computer-based training) to the businesses as requested/required in line with regulatory requirements and annual training objectives.

Profile / Your qualification / Your personality

• At least 5 years of experience in Compliance within Swiss financial industry
• Knowledge of financial products
• Good understanding of Wealth Management
• Curious, accountable, innovative, solution-oriented, persuasive personality with thorough analytical approach
• Able to work independently and to interact with Senior management
• Excellent verbal and writing skills
• Excellent skills to work with colleagues in a collaborative and constructive manner
• Ability to produce high quality reports / presentations
• Conducting oneself with the highest professional standards
• Fluency in English; German or French is a plus

That awaits you

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.

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Location

Hardstrasse 201, CH-8005 Zürich