Deputy Head of Compliance - Trading desk

The Role

• Help manage Treasury & Trading Compliance team to deliver high standards of advice, guidance and surveillance in relation to the Bank’s activities.
• Analyse, assess and develop tools to monitor activities in the above areas: best execution and market abuse monitoring; fair allocation of orders; derivatives trading in compliance with FinMIA and EMIR; regulatory reporting; Personal Account Dealing.
• Deliver the monitoring activity plan as agreed with the Group Head of Compliance.
• In conjunction with local Compliance functions, perform group oversight to ensure that group Directives are complied with locally.
• Go-to person for the SIX Participants audit and for Internal and external audits on the Treasury and Trading business.
• Assist in the development and update of Compliance manuals and key operating procedures and policies for the division.
• Prepare the reports required by the Group Head of Risk and Compliance.
• Act as the right-hand man to the Head of Compliance - Treasury and Trading.
• Train employees (team and front) on new Compliance rules and provisions in relation to Treasury and Trading.

The Profile

• A minimum of 10 years’ experience in financial services industry as Risk/Compliance Officer of which at least 3 years in a similar function.
• Extensive understanding of financial products, market conduct rules, Swiss and international regulations in financial markets.
• Fluent French & English

 Only shortlisted candidates will be contacted, many thanks for your understanding.