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Compliance Officer

Harvey Nash AG


Compliance Officer

For our client in Zurich, a financial services company that specializes in the settlement of securities transactions, we are looking for a Compliance Officer for a 4-6 months project.

Overview of the project

To strengthen the current setup and support the ongoing strategic projects, we are looking for a Compliance Officer with a strong responsibility profile, focusing on regulatory and policy requirements applicable to our global customer base and services with the mission to ensure that we are maintaining our high standards of practice in the eyes of its customers, the public and the authorities in the markets that it serves.

Your area of work

The Compliance Function works closely with the individual business units and group control functions to ensure compliance with national and international laws and regulations applicable and its business activities. The compliance function has a proactive role in the identification of possible non-compliance or reputational risks, including those that may arise in connection with new activities and products. The Fondcenter Compliance Officer will work in partnership with the Compliance functions, the latter being responsible for defining group-wide compliance policies, supports their uniform application within the group entities, and provides centralised services to prevent money laundering and terrorist financing, international financial sanctions, anti-corruption, data protection, and the prevention of conflicts of interest and related legal and regulatory requirements.

Located in Zurich you will ensure strengthening compliance controls over the organizational and technical measures across the business areas of Fondcenter, as one component of a broader compliance approach across Group.

Your responsibilities

  • Define and maintain the 2nd Line of Defense Compliance Control plan
  • Supervise and perform controls as a 2nd Line of Defense on activities carried out by the business areas
  • Prepare, develop and maintain relevant risk analysis including risk-based derivation of respective control measures
  • Prepare reports on the control measures and controls
  • Ensure application of Know-Your-Customer principles and quality assurance of related files
  • Provide Compliance and Conduct Advisory to the business and all other areas as well as to Senior Management
  • Monitor regulatory and legal requirements as well as market practices and ensure regulatory and legal compliance of Fondcenter with applicable laws and regulations
  • Ensure Compliance with applicable policies and procedures
  • Coordinate with the Chief Compliance Officer

Your profile

  • University degree in economics, finance or law or a relevant comparable qualification
  • Knowledge of relevant regulatory and legal requirements applicable to Fondcenter
  • Minimum of 5 years of relevant practical experience gained either in the Compliance function of a financial institution, in an audit function/firm or as member of a supervisory authority to the financial service industry
  • Strong conceptual and methodological skills
  • Attention on detail and organizational skills
  • Communication and negotiation skills, including ability to present complex matters in a clear and comprehensive way
  • Strong individual initiative, high level commitment and motivation
  • Proficiency in written and spoken English and German is required. French or Italian is a strong plus