Head of Compliance Client Interests Protection & Cross Border

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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