As part of the Compliance Control Testing team within Corporate Functions, you will contribute to control testing for activities related to anti-money laundering, cross-border operations, investor protection, and market abuse monitoring. You will analyse Swiss, European, and international legal and regulatory provisions to identify risks and propose improvements and compliance position statements linked to operational controls.
Tasks
- Developing control testing in line with Group RCSA and ICS to ensure all major compliance risks are covered by relevant and adequate controls (e.g. AML, investment suitability, cross-border, market abuse, shareholding disclosures, depository bank and conformity, US reporting).
- Performing control testing according to Group methodology to ensure controls are efficiently performed by the first line of defense.
- Formalising control testing results and proposing action plans and solutions to share with the first line of defense and other stakeholders.
- Proactively identifying, proposing, and implementing AI-driven solutions to optimize and streamline compliance workflows and monitoring processes, enhancing efficiency, quality, and documentation of control testing.
- Interacting with first line of defense control functions to understand the control framework and discuss attention points and action plans.
- Providing continuous ideas to improve methodology in collaboration with Group Compliance and Risk Group teams.
- Preparing KPIs and KRIs based on controls performed.
- Acting as a key contact person for Internal and External Audit.
Requirements
- University degree or certificate in Internal Audit, Risk Management, or Compliance.
- At least five 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, especially market conduct, cross-border, investor protection regulation, and market practices. AML & Sanctions would be an asset.
- Good knowledge of Swiss regulations and a sound grasp of European and international market regulations would be a plus.
- Proven experience in utilizing AI tools and technologies to optimize business or compliance processes.
- 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.
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Über uns
Das Team
The Corporate Functions team includes specialists across all business units and departments such as Communications, Compliance, Corporate Office, Finance, Human Resources, Information Security, Internal Audit, Legal, Risk, Strategy & Projects, and Tax, employing more than 900 people. You will be part of the Compliance Control Testing team.