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Banking Compliance Officer (Control Room)

Experis AG

Posted on Sep 30, 2021 by Experis AG

Zürich, Switzerland
Accountancy
Immediate Start
Annual Salary
Contract/Project


Banking Compliance Officer (Control Room)


Experis is the global leader in professional resourcing and project-based workforce solutions. Our suite of services range from interim and permanent recruitment to managed services and consulting, enabling businesses to achieve their goals. We accelerate organisational growth by attracting, assessing and placing specialised professional talent.


On behalf of our client, a leading financial institution in Zürich, we are looking for a Compliance Officer with banking industry experience.


Overview of the project:


The primary focus will be on controls surrounding Inside Information:



  • Logging of material non-public information (mnpi) and keeping mnpi on the Watch List up-to-date)

  • Setting relevant restrictions for the different businesses in the bank

  • Assessing Information Barrier Status for certain businesses

  • Review Research against items on the Watch and Restricted List.


Responsibilities:



  • Ensuring regulatory Compliance with transaction containing material non-public information (M&A transaction, capital increase etc)

  • Advising on information barriers, client confidentiality on need-to-know principle as well as dealing with inside information

  • Maintaining Watch and Restricted Lists (logging inside information in the system, applying relevant restriction codes)

  • Implementation of and advice on Research, Sales and Trading restrictions

  • Reviewing Equity and Fixed Income Research against items on the bank's Watch and Restricted List ensuring Compliance with regulatory requirements, the client's Information Barrier policies and dealing with potential conflicts of interest


Skills:



  • Over 3 years of experience in compliance

  • Banking/financial services experience (compliance, operations, first line of defense)

  • Control room experience preferred

  • Fluency in English. German highly beneficial

  • Ability to work well under pressure, independently, proactively and with demanding business partner

  • Ability to identify situations requiring escalation

  • Good analytical skills

  • Good communication skills

  • MS Office (Word, PowerPoint, Excel) basic


Interested in this opportunity? Kindly send us your CV today through the link in the advert. However should you have any questions please contact Sophia Biafora.






Reference: 1339677574

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