Posted on Sep 30, 2021 by RM IT Professional Resources AG
Compliance Officer vacancy for a globally operating Zurich based company in the financial sector.
- 3+ years of work experience in the banking or financial services sector focusing on Compliance, Operations, first line of defense or similar
- University degree in Economics or alternatively competent knowledge and work expertise in Investment Banking, Compliance or Risk Management
- Capability to work under pressure, independently and being proactively
- Ability to identify situations requiring escalation along with good analytical and communication skills
- Languages: English, fluent in written and spoken, German skills are a plus
- Being responsible for ensuring regulatory Compliance with transaction containing material and non-public information including M&A transaction, capital increase and more
- Advising on information barriers, client confidentiality on need-to-know principle along with dealing with inside information
- Maintaining Watch and Restricted Lists including logging inside informatwion in the system, applying important restriction codes together with being responsible for the implementation of and advice on Research, Sales and Trading restrictions
- Reviewing Equity and Fixed Income Research against items on the company's Watch and Restricted List to ensure Compliance with regulatory requirements, the company's Information Barrier policies and dealing with potential conflicts of interest
Location: Zurich, Switzerland
Does this Spark your interest? Then take the next step by sending us your CV and a contact telephone number on which you are reachable during working hours.
Going the Extra Mile.
As a preferred recruitment agency for Swiss banks, international insurances, finance service providers, software and pharma companies, we acquire exciting positions since 1998 in Zurich, Bern, Basel and other regions in Switzerland every day.
Due to work permit restrictions we unfortunately can only consider applications from EU or Swiss citizens as well as current work-permit holders for Switzerland.
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- All administrative questions
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