Compliance Officer - Control Testing

☞ Pictet Group

View: 134

Update day: 25-04-2024

Location: Genève Genève GE

Category: Legal / Contracts

Industry: Financial Services

Position: Mid-Senior level

Job type: Full-time

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Job content

Your team

Corporate Functions includes the Group’s non-banking activities and employs more than 600 people. These functions are carried out by specialists with expertise across all business units, and include the Communications, Compliance, Finance, Human Resources, Information Security, Internal Audit, Legal, Organisation & Digital, Risk and Tax departments.

As the successful candidate, you will be part of the Compliance Control Testing team, which is responsible for carrying out and developing control testing for all activities linked to anti-money laundering, investor protection and market abuse monitoring. You will also be required to analyse Swiss, European and international legal and regulatory provisions, with a view to identifying specific risks as well as coming up with suggestions for improvement and compliance position statements linked to operational controls.

Your role
  • Developing control testing in line with Group RCSA and ICS to ensure that all major compliance risks are covered by relevant and adequate controls (e.g. AML, investment suitability, cross-border, market abuse and shareholding disclosures, depository bank and conformity, US reporting, dormant accounts, etc.).
  • Performing control testing in line with Group methodology to ensure that the controls in place are efficiently performed by the first line of defence.
  • Formalising control testing results and proposing action plans and solutions to be shared with the first line of defence and other stakeholders.
  • Interacting with the first line of defence control functions to understand the control framework in place and discuss potential attention points and action plans.
  • Providing continuous ideas to improve the methodology in collaboration with Group Compliance teams.
  • Preparing KPIs and KRIs based on the controls performed.
  • Acting as a key contact person for Internal/External Audit.

Your profile
  • University degree or certificate in Internal Audit, Risk Management or Compliance.
  • At least six years’ experience in a similar role in the banking industry. Experience in an international environment preferred.
  • Good knowledge of the Compliance environment and related risks, such as AML, market conduct, cross-border, investor protection regulation and market practices.
  • Good knowledge of Swiss regulations and a sound grasp of European and international market regulations would be a plus.
  • Strong interpersonal skills, ability to work in teams and communicate clear messages to different stakeholders.
  • Highly skilled user of standard MS Office applications.
  • Ability to develop and write reports.
  • Fluent in French and English, with strong writing skills in both languages. A good command of German would be an asset.
  • Must be resident in Switzerland.

Note

We will not accept any CVs via agencies.

Ref. : CO-CT/MH/OZ

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.
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Deadline: 09-06-2024

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