Compliance Assistant - Reviews

Swissquote; Gland; Vor Ort; CHF 80’000 - 110’000; Vollzeit

Zusammenfassung

A leading financial services firm in Switzerland is seeking a Compliance Assistant to join their Compliance Department. This role involves carrying out reviews of key clients with a focus on AML/CTF, conducting due diligence analyses, and drafting compliance assessments. Candidates should possess a Bachelor’s degree, 3-7 years in compliance, and excellent English and French skills. The position offers the chance to thrive in a dynamic and multicultural environment.

Qualifikationen

• 3-7 years of financial services compliance experience.
• Prior experience in periodic reviews is a strong asset.
• Knowledge of the Swiss legal framework is required.

Aufgaben

• Carry out reviews of key clients from an AML/CTF standpoint.
• Conduct enhanced due diligence analyses.
• Draft formal compliance assessments.
• Provide support and advice to the front office and management.

Kenntnisse

Analytical approach

Excellent command of English

Excellent command of French

Knowledge of Swiss legal framework

Data analysis

Excellent writing skills

Strong team player

Ausbildung

Bachelor’s degree in Law, Economics, International Relations, or Political Science

Certificate in Compliance Management

Tools

Excel

Jobbeschreibung

Company Description

As a Compliance Assistant, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, and we are looking for different types of seniority profiles whose main tasks will be:

• Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB)
• Conducting enhanced due diligence analyses
• Drafting formal compliance assessments
• Providing support and advice to the front office and management

Depending on the level of seniority, the following tasks may also be required:

• Assisting the Manager in supporting the team on a daily basis, including providing responses to questions, conducting second-level reviews of team members’ assessments and serving as a trusted role model in terms of work quality, efficiency and professional behavior
• Serving as the key point of contact for complex cases
• Optimization of internal processes, including the review and drafting of internal guidelines

Qualifications

• Bachelor’s degree, preferably in Law, Economics, International Relations, Political Science or similar (a Certificate in Compliance Management is a very strong asset)
• 3-7 years of financial services compliance experience (prior experience in periodic reviews specifically is a very strong asset)
• Knowledge of the Swiss legal framework
• Excellent command of English and French (German is a strong asset)
• Analytical and methodological approach
• Structured and professional working style
• Interest and experience in data analysis (including Excel)
• Excellent writing and communication skills
• Strong team player who enjoys working in multicultural, dynamic, technological and international environment