Compliance Officer – PC & SSOL/TB
The Compliance Officer supports the compliance function for the wealth management and structured solutions division of a leading private bank headquartered in Switzerland with operations across the EU. Reporting directly to the Head of Compliance PC & SSOL/TB, this role combines day‑to‑day advisory responsibilities with strategic involvement in regulatory change, control framework development, and cross‑border initiatives. Responsibilities
Support and help drive the Group Compliance framework across Private Clients and Structured Solutions, fostering cross‑border coordination and regulatory awareness. Act as the key contact for business areas, providing pragmatic, risk‑based compliance advice aligned with regulatory and internal requirements. Monitor and interpret Swiss, EU, and international regulations (e.g., FinSA/FinIA, MiFIDII, PRIIPs, EMIR) and translate them into practical business guidance. Track regulatory developments and support updates to internal policies, procedures, and controls. Provide day‑to‑day compliance support for structured solutions (e.g., structured products, derivatives, AMCs, tailored financing). Contribute to product governance, including approvals, target‑market assessments, and lifecycle monitoring. Advise on compliant marketing and distribution across jurisdictions, including private banking, ESG, and client protection rules. Support compliance controls, risk assessments, breach handling, investigations, and reporting to stakeholders and regulators. Qualifications
Minimum of 5years experience in a compliance or legal role within a banking or financial services environment, preferably with exposure to wealth management and structured products. Working knowledge of relevant Swiss and EU regulatory frameworks (FinSA/FinIA, MiFIDII/MiFIR, PRIIPs, and product governance requirements). Understanding of suitability and appropriateness, conflicts of interest, marketing compliance, cross‑border rules, and product governance principles. Experience reviewing or contributing to compliance policies, procedures, and controls, with the ability to apply regulatory requirements to practical business scenarios. Ability to translate complex regulatory requirements into clear, pragmatic guidance for business stakeholders, including in complex or time‑sensitive situations. Strong analytical skills, attention to detail, and a high standard of integrity and professional conduct. Collaborative team player capable of working effectively with colleagues across functions, jurisdictions, and seniority levels. Proficiency in German and English. Degree in Law, Finance, or a related field; additional compliance qualifications are a plus. Affinity for Artificial Intelligence (AI) and a willingness to embrace AI‑enabled tools and ways of working. Benefits
Top Zurich location with collaboration spaces and free lunch. Friendly, diverse team in an international environment. Agile work environment and flat hierarchy with collaboration on all levels. Opportunities to learn, thrive, and contribute to a sustainable, long‑term focused organization. We are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity. We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.
#J-18808-Ljbffr
The Compliance Officer supports the compliance function for the wealth management and structured solutions division of a leading private bank headquartered in Switzerland with operations across the EU. Reporting directly to the Head of Compliance PC & SSOL/TB, this role combines day‑to‑day advisory responsibilities with strategic involvement in regulatory change, control framework development, and cross‑border initiatives. Responsibilities
Support and help drive the Group Compliance framework across Private Clients and Structured Solutions, fostering cross‑border coordination and regulatory awareness. Act as the key contact for business areas, providing pragmatic, risk‑based compliance advice aligned with regulatory and internal requirements. Monitor and interpret Swiss, EU, and international regulations (e.g., FinSA/FinIA, MiFIDII, PRIIPs, EMIR) and translate them into practical business guidance. Track regulatory developments and support updates to internal policies, procedures, and controls. Provide day‑to‑day compliance support for structured solutions (e.g., structured products, derivatives, AMCs, tailored financing). Contribute to product governance, including approvals, target‑market assessments, and lifecycle monitoring. Advise on compliant marketing and distribution across jurisdictions, including private banking, ESG, and client protection rules. Support compliance controls, risk assessments, breach handling, investigations, and reporting to stakeholders and regulators. Qualifications
Minimum of 5years experience in a compliance or legal role within a banking or financial services environment, preferably with exposure to wealth management and structured products. Working knowledge of relevant Swiss and EU regulatory frameworks (FinSA/FinIA, MiFIDII/MiFIR, PRIIPs, and product governance requirements). Understanding of suitability and appropriateness, conflicts of interest, marketing compliance, cross‑border rules, and product governance principles. Experience reviewing or contributing to compliance policies, procedures, and controls, with the ability to apply regulatory requirements to practical business scenarios. Ability to translate complex regulatory requirements into clear, pragmatic guidance for business stakeholders, including in complex or time‑sensitive situations. Strong analytical skills, attention to detail, and a high standard of integrity and professional conduct. Collaborative team player capable of working effectively with colleagues across functions, jurisdictions, and seniority levels. Proficiency in German and English. Degree in Law, Finance, or a related field; additional compliance qualifications are a plus. Affinity for Artificial Intelligence (AI) and a willingness to embrace AI‑enabled tools and ways of working. Benefits
Top Zurich location with collaboration spaces and free lunch. Friendly, diverse team in an international environment. Agile work environment and flat hierarchy with collaboration on all levels. Opportunities to learn, thrive, and contribute to a sustainable, long‑term focused organization. We are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity. We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.
#J-18808-Ljbffr
