Compliance Officer - Intermediaries 100% (f/m/d)

Role

Full-time

Permanent

Mid

Logistics

Zurich

100%

Requirements

3+ yrs exp

Bachelor's

EU/EFTA permit

Skills

MS OfficeRisk ManagementComplianceProblem SolvingTraining and DevelopmentAnalytical ThinkingClient DocumentationStakeholder engagementSwiss lawKYCIT AuditManagement Reviews

Languages

English C1

Description

YOUR CHALLENGE

Performing Intermediaries and Finders onboarding and periodic reviews, including detailed risk assessments and review of Know Your Intermediary (KYI) profiles Supporting relationship managers and management in implementing, advising, and supervising Compliance matters related to Intermediaries and Finders Conducting Anti-Money Laundering (AML) investigations when necessary Reviewing local policies and procedures when required Identifying and investigating serious cases of non-compliance Collaborating with key stakeholders within and outside Compliance Instilling a Compliance culture in employees to mitigate legal, regulatory, sanctions, and reputational risks Supporting Compliance projects and following up on internal and regulatory audits Providing training and training materials on Intermediaries and Finders, Compliance and AML topics Support the team with Intermediaries and Finders related tasks as needed, including framework setting and methodology definition

Responsibilities

Performing Intermediaries and Finders onboarding and periodic reviews, including detailed risk assessments and review of Know Your Intermediary (KYI) profiles
Supporting relationship managers and management in implementing, advising, and supervising Compliance matters related to Intermediaries and Finders
Conducting Anti-Money Laundering (AML) investigations when necessary
Reviewing local policies and procedures when required
Identifying and investigating serious cases of non-compliance
Collaborating with key stakeholders within and outside Compliance
Instilling a Compliance culture in employees to mitigate legal, regulatory, sanctions, and reputational risks
Supporting Compliance projects and following up on internal and regulatory audits
Providing training and training materials on Intermediaries and Finders, Compliance and AML topics
Support the team with Intermediaries and Finders related tasks as needed, including framework setting and methodology definition

Requirements

Bachelor's degree (preferably in law, economics, business administration, or a banking-related subject)
3-5 years of experience in Intermediaries (asset managers, family offices) Compliance and Risk Management, Audit, or Compliance functions
Knowledge of the Swiss regulatory environment, particularly AML regulations, and client documentation standards
Good knowledge of MS Office and a flair for IT
Strong personality with good organizational, operational, and communication skills
Ability to work under pressure, with excellent analytical, teamwork, and problem-solving skills
Proficient in writing concise assessments, with a strong sense of integrity and discretion
Independent, efficient, and meticulous work method, with solution-oriented thinking
Fluency in English, with additional languages being an advantage

Tech stack

MS Office

Company

Julius Baer

Banking

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together.