(Junior) Compliance Officer

Responsibilities

• Execute compliance controls (i.e. market abuse monitoring, payment screening, sanctions screening) as part of the second line of defense, ensuring the organization adheres to regulatory requirements and internal standards.
• Prepare and consolidate compliance reports, including subsidiaries reporting, for monthly and quarterly submissions to senior management. Support reporting obligations to FINMA and contribute to various regulatory reporting initiatives.
• Manage the bank’s policy and procedure framework, conducting policy reviews, coordinating feedback on Group policy updates, and drafting compliance-related policies.
• Oversee the bank’s complaints reporting framework, including analysis of root cause.
• Develop and oversee the compliance training framework, ensuring employees receive necessary regulatory and policy training to maintain high compliance standards across the organization.
• Provide support to the Head of the General Compliance Team, assisting in compliance-related projects, process enhancements, system implementations, and control optimizations.
• Lead and participate in compliance-related projects, collaborating effectively with different departments.

Education and Qualifications

• Strong educational background (University degree in law or economics preferred).
• Up to 3 years' experience in compliance, risk management, risk control or audit within the Swiss financial industry.
• Solid understanding of risk control and reporting techniques.
• Familiarity with the wealth management environment.

Experience, Skills and Competencies Required

• Proactive and solution-oriented mindset.
• Strong problem-solving and organizational skills.
• Ability to manage complex and variable situations effectively.
• Team player with a high level of reliability, accuracy and discretion.
• Excellent communication skills in English and French or German (written and spoken).
• Comfortable working under pressure and meeting deadlines.
• High standards of quality and confidentiality.
• Proficient in MS Office; knowledge of Avaloq is a plus.

Benefits

• Rothschild & Co is committed to safeguarding and enhancing the health and wellbeing of all its employees. To support this, Rothschild & Co provides all employees with a range of healthcare services and benefits that aim to support their overall wellbeing.
• We are conducive to creating a working environment and culture where people can succeed.
• We provide a variety of inhouse trainings, as well as tuition assistance for further education and training courses.
• Everyone can choose to incorporate agile working principles into their working week.
• We have learned a great deal about the adaptability, commitment and resilience of our people. We believe there are opportunities for all of us to enhance our working lives and outcomes, by applying a more flexible approach to where and when we work and up to 40% of your work time can be performed from home.

If you are curious to learn more about us and have valuable experiences in a similar role, then please submit your CV and Cover Letter through our recruitment tool.