Compliance Officer - Neuchatel, CH

☞ Stonehage Fleming

View: 158

Update day: 29-03-2024

Location: Neuchâtel Neuchâtel NE

Category: Legal / Contracts

Industry: Financial Services

Position: Mid-Senior level

Job type: Full-time

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Job content

Description
The position reports to the Head of Risk & Compliance, Family Office Switzerland.
Key Responsibilities
PRINCIPAL ELEMENTS AND ACCOUNTABILITIES
  • Perform reviews of client acceptance AML/CFT documents.
  • Review the quality of periodic AML and client reviews of Stonehage Fleming client base.
  • Perform first line reviews of cash and asset movements (payments, settled funds, etc.) to ensure, inter alia, that all relevant screening and AML/CFT requirements have been met. Where necessary escalate and/or investigate any potential issues.
  • Assist with compliance monitoring.
  • Control the ongoing screening of our client base (e.g. via RiskScreen Batch), escalating/investigating and potential matches and/or issues to senior management where relevant.
  • Assistance with the maintenance of policies and procedures.
  • Be the focal point for enquiries from external auditors and obliged person reviewers ensuring that all requests are attended to in a timely manner.
  • Assist with developing and delivering training to the business.
  • Other tasks as requested by senior management.
Qualifications And Experience
  • University degree in law, Master’s degree is preferable.
  • 2-3 years of experience in a compliance role.
  • Experience in the fiduciary service area of the finance industry is preferable.
Skills
  • Fluent in English (verbal and writing skills); Fluent in French is preferable.
  • Relevant compliance and risk expertise, within a financial services firm.
  • Demonstrates sound judgment and decision-making skills.
  • Good working knowledge of Swiss AML legislation; Good working knowledge of Swiss prudential legislation is preferable.
  • Excellent oral and written communication skills.
  • Strong interpersonal and conflict management skills.
  • Computer literacy (Word, Excel, Outlook) with an ability to quickly learn/understand other in-house systems.
WORKING HOURS
  • Full time.
Education Level Degree or Equivalent
Experience Level Mid Level
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Deadline: 13-05-2024

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