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- Aufgaben: Lead and supervise compliance teams ensuring adherence to investor protection laws and regulations.
- Arbeitgeber: Join a leading financial institution committed to integrity and regulatory excellence.
- Mitarbeitervorteile: Enjoy competitive compensation, professional development opportunities, and a collaborative work environment.
- Warum dieser Job: Make a real impact in protecting investors while working with diverse teams across the globe.
- Gewünschte Qualifikationen: Must have a Master's degree and over 10 years of experience in financial services compliance.
- Andere Informationen: Fluency in French and English is essential; other languages are a plus.
Das voraussichtliche Gehalt liegt zwischen 72000 - 100000 € pro Jahr.
Supervise Investor Protection & Cross Border Compliance Teams, ensuring the Group and its entities comply with applicable laws, regulations, internal standards, and policies related to Investor Protections across the different Business Lines.
Main Responsibilities
- Supervise the Compliance Investor Protection & Cross Border team, providing high-quality advice, guidance, and surveillance for the Bank\’s activities at Group level.
- Supervise and coordinate the Compliance teams across different locations ensuring the entities comply with Group standards and local regulations.
- Engage in discussions with supervisory authorities and regulators as necessary.
- Execute the monitoring and control plan as agreed with the Group Head of Compliance.
- Participate in workshops, committees, and cross-functional projects.
- Foster efficiency initiatives.
- Organize and deliver training for employees on new compliance regulations and provisions.
- Prepare regular reports for the Executive Committee and the Group Head of Compliance.
Investor Protection Regulations
- Ensure the Group entities comply with Investor Protection related regulations (LsFIN, MIFID2 etc.).
- Ensure the Regulatory requirements on Investor Protection are properly identified in each entity of the Group, across the different Business Lines.
- Define and organize with the first line of Defense and other key stakeholders (Risk function notably) the proper governance applicable to Investors Protection related regulations.
- Define minimum Group standards and procedures applicable to the different entities across Business Lines.
- Ensure Compliance Risk Assessments include Investor Protection related aspects.
- Define and update on a regular basis the control plan related to Investors Protection regulations.
- Ensure the control plan is properly executed.
- Assist the Business growth efforts in the development of new products and activities in compliance with Investor Protection Group standards.
- Prepare regular reporting for the Group Head of Compliance as well as for Compliance, Risk committees, Executive Committee, and the Board of Directors.
Main Committees Participation
- Compliance Executive Committee
- Compliance with regulations and internal directives.
Personal Skills
Key to have a pragmatic and solution-oriented management style. Strong adherence to the company’s values: Dedication, Conviction, Agility, and Responsibility. Strong attention to detail, excellent written communication skills. Fluency in French and English; other languages considered an advantage.
Education
- Education: Master Degree
- Certification: University degree in Economics, Law, or an equivalent qualification, with a Compliance Management.
Experience
- Years of experience: +10 : senior
- Experience required: Minimum of 10 years’ experience in financial services. Deep understanding of financial products, market conduct rules, and Swiss/international regulations in financial markets. Good knowledge of Investor Protection regulations. Ability to work in an international regulatory environment. Strong command of Compliance control and monitoring set-ups.
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Head of Compliance Client Interests Protection & Cross Border Arbeitgeber: UBP - Union Bancaire Privée
Kontaktperson:
UBP - Union Bancaire Privée HR Team
StudySmarter Bewerbungstipps 🤫
So bekommst du den Job: Head of Compliance Client Interests Protection & Cross Border
✨Tip Number 1
Make sure to showcase your extensive experience in financial services, especially your understanding of Investor Protection regulations. Highlight specific instances where you've successfully navigated complex regulatory environments.
✨Tip Number 2
Demonstrate your leadership skills by discussing how you've supervised teams in the past. Provide examples of how you’ve fostered collaboration and efficiency within compliance teams across different locations.
✨Tip Number 3
Engage with current trends in compliance and investor protection. Being knowledgeable about recent changes in regulations like LsFIN and MIFID2 will show that you are proactive and well-informed.
✨Tip Number 4
Prepare to discuss your experience in training and developing compliance staff. Highlight any workshops or training sessions you've organized, as this is crucial for the role's responsibilities.
Diese Fähigkeiten machen dich zur top Bewerber*in für die Stelle: Head of Compliance Client Interests Protection & Cross Border
Tipps für deine Bewerbung 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Head of Compliance Client Interests Protection & Cross Border position. Tailor your application to highlight your relevant experience in compliance and investor protection.
Highlight Relevant Experience: In your CV and cover letter, emphasize your 10+ years of experience in financial services, particularly focusing on compliance, investor protection regulations, and your ability to work in an international regulatory environment.
Showcase Communication Skills: Given the importance of excellent written communication skills for this role, ensure that your application is well-structured, clear, and free of errors. Use professional language and demonstrate your fluency in both French and English.
Demonstrate Leadership Qualities: Since the role involves supervising teams and engaging with regulatory authorities, highlight your leadership experience and pragmatic management style. Provide examples of how you've successfully led compliance initiatives or training programs in the past.
Wie du dich auf ein Vorstellungsgespräch bei UBP - Union Bancaire Privée vorbereitest
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll be supervising teams across different locations. Be prepared to discuss your management style and provide examples of how you've successfully led teams in the past, especially in compliance-related contexts.
✨Demonstrate Regulatory Knowledge
Make sure you are well-versed in Investor Protection regulations like LsFIN and MIFID2. During the interview, highlight your understanding of these regulations and how they apply to various business lines within financial services.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world compliance scenarios. Think of specific situations where you had to navigate complex regulatory environments or manage compliance risks effectively.
✨Communicate Clearly and Effectively
Given the importance of written communication in this role, practice articulating your thoughts clearly. Be ready to discuss how you would prepare reports for the Executive Committee and other stakeholders, ensuring clarity and precision.
