Head of Compliance Onboarding & Periodic Reviews

Lead and manage the Onboarding & Periodic Reviews team (approx. 15+ people) within the legal entity EFG Bank AG, spread over the 3 locations: Zürich, Geneva and Lugano and oversee all KYC/AML processes and procedures to ensure proper risks management and adherence to the internal framework and regulatory requirements.  

 

Main Responsibilities

• Oversight of Onboarding & Periodic Reviews activities.


• Management of the Onboarding & Periodic Reviews team over the 3 locations,, defining priorities, setting goals and leading people.


• Provide support and guidance to the team and the front office.


• Escalate sensitive and/or urgent issues to the Head of Financial Crime or her deputy.


• Collaborate and maintain strong relationships with with the First Line of Defense (FLoD) and other stakeholders as well as with foreign Compliance units.


• Prepare, participate and follow-up on internal and external audits.


• Preparation of management reports, statistics and KPI for internal use and for Group Compliance.


• Prepare and provide trainings and workshops to compliance and front office.


• Keep abreast of the current development of regulatory changes that may affect the business or the process/procedure, and propose appropriate strategies and measures to be taken.


• Promote compliance awareness and support the development of risk culture within the bank.


• Maintain and enhance Onboarding & Periodic Reviews processes, systems and tools by participating to projects, reviewing and/or developing internal guidelines and supporting the development of new tools.

 

Professional Skills

• 8+ years of experience in Compliance with strong track record in compliance knowledge,  in particular in client onboarding but also in financial crime and transaction monitoring.


• Certificate of advanced studies in Compliance and/or other specialized certificates are a plus.


• Strong leadership.


• Strong knowledge of Private banking, Wealth Management and Asset Management.


• Good understanding of commercial challenges.


• Solution-driven and pragmatic mindset.


• Flexibility and resourcefulness.


• Strong ability to work across different functions.


• Flexibility to travel around Switzerland on a regular basis.


• Strong interpersonal skills.


• Fluent in English as well as in French and/or German and/or Swiss German and/or Italian.

 

Our Values

• Accountability: Taking ownership for tasks and challenges as well as seeking continuous improvement


• Hands-on: Being proactive to rapidly deliver high-quality results


• Passionate: Being committed and striving for excellence


• Solution-driven: Focusing on client outcomes and treating clients fairly with a risk-aware mindset


• Partnership-oriented: Promoting collaboration and teamwork. Working together with an entrepreneurial spirit.