Risk and Compliance Officer

Stonehage Fleming SA
Rue du Puits-Godet 12, 2000 Neuchâtel
  • 27.09.2023
  • 100%
  • Mitarbeiter
  • Festanstellung
Stonehage Fleming is adviser to many of the world’s leading families and wealth creators. We manage and protect their wealth, often across several geographies and generations. We offer our services from 19 offices in 14 geographies.

Risk and Compliance Officer

  •  Perform reviews of client acceptance AML/CFT documents.
  • Review the quality of periodic AML and client reviews of Stonehage Fleming clientbase.

  • Perform first line reviews of cash and asset movements (payments, settled funds, etc.) to ensure, inter alia, that all relevant screening and AML/CFT requirements have been met. Where necessary escalate and/or investigate any potential issues.

  • Assist with compliance monitoring.

  • Control the ongoing screening of our client base (e.g. via RiskScreen Batch), escalating/investigating and potential matches and/orissues to senior management where relevant.

  • Assistance with the maintenance of policies and procedures.

  • Be the focal point for enquiries from external auditors and obliged person reviewers ensuring that all requests are attended to in a timelymanner.

  • Assist with developing and delivering training to the business.

  • Other tasks as requested by seniormanagement.

  • University degree 
  • 2-3 years of experience in a compliance role.
  • Experience in the fiduciary service area of the finance industry is preferable.
  • Fluent in English (verbal and writing skills); Fluent in French is preferable.
  • Relevant compliance and risk expertise, within a financial services firm.
  • Demonstrates sound judgment and decision-making skills.
  • Good working knowledge of Swiss AML legislation; Good working knowledge of Swiss prudential legislation is preferable.
  • Excellent oral and written communicationskills.
  • Strong interpersonal and conflict management skills.
  • Computer literacy (Word, Excel, Outlook) with an ability to quickly learn/understand other in-house systems.
Rue du Puits-Godet 12 2000 Neuchâtel