Senior Compliance Officer - Group Compliance Advisory and Assurance

☞ Lombard Odier & Cie

View: 119

Update day: 03-04-2024

Location: Genève Genève GE

Category: Legal / Contracts

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A career at the Lombard Odier Group is something to be proud of. Our mission is to protect and grow our clients’ wealth - but not by any means necessary. Sustainability is at the heart of everything we do and we treat our clients’ wealth as if it were our own. We protect our clients’ assets for the long-term using expertise and innovation, all underpinned by our Rethink Everything philosophy. Our colleagues are the foundation of our success. We employ people at different life stages, from graduates to executive level leaders. The one thing they all have in common is that they seek to challenge the status quo, are imaginative and have the ability to offer a fresh perspective.
Group Compliance Advisory & Assurance is a small senior team within the Compliance department of the Lombard Odier Group. The team is responsible for the Group Compliance advisory framework and the consolidated compliance monitoring plan for entities and offices in Switzerland and abroad. The scope of the team’s activities aligns with the mandate of Compliance department, focusing primarily on risks relating to financial crime, investor protection and market integrity. The orientation of the team’s activities is forward-looking with a view to translating the outcomes of risk-based assurance activities into advice-based compliance solutions.
YOUR MISSION:
  • Provide advice to other teams within the Compliance department and to internal stakeholders including inter alia business heads and business risk managers on the assessment and mitigation of compliance risks
  • Coordinate compliance advisory and assurance activities with other second line of defense units, and with Internal Audit
  • Conduct periodic and risk-based reviews, on a local and global basis, of the internal control frameworks for risks aligned to the mandate of the Compliance function, including the design, performance and reporting of such activities
  • Perform regional and Group Compliance key assurance controls at regional and global levels
  • Conduct reviews of Compliance activities outsourced to external providers (e.g., for certain foreign representative offices of the Bank) or delegated intra-group to ensure adherence to regulatory requirements and Service Level Agreements
  • Make recommendations and identify remedial actions based on outcomes from monitoring and testing activities as well as risk-based reviews
  • Collaborate to maintain and develop the Compliance Assurance Plan for monitoring and testing activities on a group-wide basis
  • Propose and contribute to projects for the continuous improvement of the internal controls for compliance aligned risks, and other relevant transversal initiatives
YOUR PROFILE:
  • Degree in Law, Economics or Finance or similar domains
  • Additional professional certification (CIA, CISI, ICA) an advantage
  • Solid understanding of the regulatory environment, particularly of the Swiss framework and the organization of consolidated supervision
  • At least 10-years relevant experience in Financial Services in the public or private sector and more specifically with exposure to Private Banking
  • Experience in a Compliance or Audit role involving controlling activities, including monitoring, testing and/or thematic reviews
  • Analytical thinker with an ability to prioritize multiple tasks, work under pressure and meet tight deadlines
  • Ability to summarize complex topics, to drive practical outcomes and to make sound decisions or proposals, including escalation when appropriate, in respect of applicable rules and related risks
  • Strong interpersonal, communication, presentation and influencing skills, notably a proven ability to foster productive relationships with senior management and other control functions
  • Availability to travel to perform on-site visits in Lombard Odier’s international offices in the Americas, Europe and Asia
  • English compulsory and French highly desirable; German an advantage
  • Resident in Switzerland or willing to relocate to Switzerland.
If you recognise yourself in this description, then please do apply. We look forward to hearing from you.
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Deadline: 18-05-2024

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