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Compliance Officer

Département
Head of Compliance
Succursale
Geneva
 % du taux d'emploi
100
Mission
  • REYL INTESASANPAOLO is looking for a Compliance officer, this person will join Compliance team in day-to-day activities. The Compliance Officer should be a person with a good knowledge of industry best practices and regulatory trends.
Responsibility

Provide compliance coverage focused on the following Business Lines:


COMPLIANCE

  • Conduct compliance inspections, review and upkeep of compliance-related manuals, routine compliance checks
  • Knowledge of financial institutions, correspondent banking and Brokers and services 
  • Onboarding and review of External Asset Managers and Business Introducers 
  • Maintenance of files and documentation for audit and inspection
  • Performinvestigations on accounts or relationships related to cross border, Market Abuse and Code of Conduct risks
  • Conduct periodic reviews
  • Staff training (e.g. code of conduct, cross border)
  • Due diligence questionnaires / Third parties requests
  • Supporting the Compliance Officer in drafting reports and reporting information flows
  • Support the Head of the Compliance in managing the roll-out of policies and procedures and provide training as necessary in support of awareness

ASSET SERVICES 

  • (institutional investment consulting & delegation, custody services (banks & collective investment schemes), trading, fund governance and set-up 
  • Analysis of prospects’ onboarding files (e.g. for collective investments schemes: analysis of prospectus, custodian agreement, asset manager/advisor agreements, due diligence on each involved counterparty) and periodic reviews
  • Liaison and coordination with Asset Services onboarding committee
  • Analysis of complex transactions
  • Ongoing supervision and monitoring

MARKET ABUSE AND LSFIN 

  • Best execution control
  • Suitability and appropriateness testing
  • Market abuse monitoring
Profile
  • Relevant experience, at least 2-3 years banking experience in a similar job
  • Good knowledge of institutional sector
  • University degree or equivalent
  • Good writing and analytical skills
  • Fluent in English and French, German would be an asset
  • Good ability to working with MS Office tool, Knowledge of FINNOVA, PM1 would be an asset
  • Ability to work independently, make informed decisions, and determine own priorities
  • Ability to work collaboratively and across services
  • Ability to multi-task and execute tasks with a sense of urgency 
  • Swiss resident 

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