Job Description
The position the Regulatory Compliance Officer supports the Regulatory Compliance function in ensuring adherence to Swiss regulatory requirements applicable to Private Banking, with a focus on Market Conduct, FIDLEG, Cross-Border activities, Third Parties oversight and Client Tax compliance (FATCA/CRS).
Key Responsibilities
Market Conduct
- Monitor employee personal account dealing and staff transactions.
- Support surveillance activities related to market abuse and conduct risk.
- Contribute to conduct-related reporting and control testing.
FIDLEG / FINSA
- Support client classification and reclassification processes (opt-up/opt-down).
- Review client transactions/documentation to ensure compliance with duty of information, suitability requirements.
- Assist in monitoring best execution and conflict of interest frameworks.
- Provide regulatory guidance to Front Office...