As a second line of defense, the Sales and Suitability (SSU) Compliance Officer is responsible for the adherence to local and international regulations and standards related to conduct, as well as supervisory requirements and group expectations. The candidate shall manage the Bank’s relevant conduct related risks through the appropriate control and oversight activities. The Role will have a reporting to SSU Compliance Head.
Responsibilities
SSU BAU Activities:
Perform SSU controls and address related Front Office queries
Prepare SSU reporting (Compliance Committee, Group reporting)
Conduct Special Product Monitoring (crypto assets, unit link, structured products)
Review marketing material/disclaimer
Support to Product Approval and Governance Process:
Draft minutes for the Local Commercialization Committee (CLC)
Maintain and update the CLC inventory
Follow up on CLC conditions
Maintain and update criteria logged in the Product Governance Framework
Client Risk Profile Maintenance:
Maintain and enhance the risk profiling algorithm
Track the client risk profile redocumentation
Contribution to Team Development:
Update procedure and policies
Prepare training materials and presentations
Support in digitalization/automation initiatives
Miscellaneous:
Provide support on ad hoc projects and initiatives
Profile:
Strong data analysis skills.
Solid knowledge of financial markets and financial products.
Excellent problem-solving abilities with the capacity to work independently and demonstrate initiative.
Critical thinking skills to proactively identify risks and issues impacting the Bank.
Strong follow-up capabilities to ensure outstanding matters are tracked and resolved in a timely manner.
Collaborative team player with the ability to work effectively across functions.
Highly dedicated, with strong multitasking and organizational skills.
Effective written and verbal communication skills.
Proficient in Microsoft Excel, Word, and PowerPoint; Bloomberg experience is an advantage.
Languages: Fluent in English and either Spanish or French.
Bachelor’s or Master’s degree in Finance, Business, Economics.
Requirements:
Eligible to work in Switzerland.
To be currently enrolled in a University/Study Centre.