Head of PWM Risk & Compliance Market Access

Your team

The Pictet Group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented at 30 offices in financial centres worldwide, currently employing over 5,000 people.

Pictet Wealth Management combines more than 220 years of Swiss banking heritage with global investment expertise. The Partner-owned financial services group offers a comprehensive service for wealthy individuals and families, including discretionary and advisory investment solutions and family office services.

As Head of PWM Risk & Compliance Market Access, you will identify, assess and monitor market-access risks across cross-border activities, marketing and events, intermediaries and market coverage, providing clear, practical guidance to Front teams. You will lead and develop the PWM Risk & Compliance Market Access team and represent it in the relevant governance bodies.

Your role

• Monitor market access trends, identify related risks and provide guidance on the design of the market access framework and associated risk management measures.


• Oversee the implementation of market coverage at global, team and individual levels.


• Actively monitor the book of business and anticipate regulatory developments that may affect how clients are served.


• Monitor, interpret and implement cross-border rules; advise and brief the Front Office and PWM governance on the applicable regulatory framework.


• Define and implement the framework governing marketing activities and events, in close cooperation with the Marketing team.


• Define and implement the framework applicable to intermediaries.


• Monitor compliance with internal rules of conduct on staff trading across PWM.


• Answer questions on US SEC rules and liaise with the US Legal Expertise team whenever needed.


• Provide advice on risk management and controls for all market access matters to ensure effective and efficient risk and compliance management.


• Ensure systematic, structured and targeted reporting on market access topics.


• Represent PWM in committees and working groups where market access matters are discussed.


• Lead and manage the PWM Market Access team to maximise its impacts while staying focused on priorities.

Your profile

• Master’s degree or equivalent qualification.


• At least 10 years of experience in wealth management.


• Strong regulatory and legal expertise in cross-border activities, marketing, intermediaries and client relationships.


• Proven track record in defining, implementing and maintaining control and operating frameworks.


• Strong understanding of the wealth management industry, with the ability to monitor market trends and competitive developments.


• Proven leadership and people management skills.


• Ability to communicate clearly, concisely and with impact, conveying meaningful insights.


• Strong analytical thinking skills.


• A proactive, solution-oriented mindset, with the ability to anticipate risks and challenges.


• Fluent in French and English; knowledge of German would be an asset.


• Resident in Switzerland or willing to relocate.

Ref: HRCMA/SN/DM

Note

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.