Senior Compliance Advisor: AML/KYC & Regulatory Risk

Schroders; Zürich; On-site; CHF 150,000 - 190,000; Full time

Job summary

Schroders Zürich is seeking a senior compliance professional to join our Risk, Compliance & Audit team. You will provide clear, risk-based guidance across front office, operations and other functions, with a focus on AML/KYC, sanctions and regulatory change.

You will review account openings, high-risk relationships and complex structures, and support remediation, reporting and governance through concise case summaries and collaboration with stakeholders.

Qualifications

• University degree in law, business administration, economics or a comparable discipline, or an equivalent professional qualification.
• Typically 5–8 years of relevant compliance experience, preferably in Swiss private banking, wealth management or a comparable regulated financial services environment.
• Sound knowledge of the Swiss legal and regulatory compliance framework, with practical experience in AML/KYC, sanctions, transaction monitoring, cross-border compliance, suitability and client protection, market conduct, regulatory change.
• Experience conducting and documenting risk-based reviews, analysing complex facts, identifying material issues and producing clear recommendations for senior review or committee consideration.
• Strong analytical, organisational and problem-solving skills, with a structured approach and consistent attention to accuracy, evidence and follow-through.
• Ability to work independently within agreed authority, manage competing priorities, exercise sound judgement and elevate matters appropriately.
• Strong communication and stakeholder-management skills, with the ability to explain complex requirements clearly and provide practical challenge in a constructive manner.
• Good affinity for systems, processes, data, controls and reporting; experience supporting system or process change is an advantage.
• Fluent German and English; additional languages are an advantage.

Responsibilities

• Provide clear, practical and risk-based compliance advice to Front Office, management, Operations and other functions across the principal compliance domains.
• Perform compliance reviews for account openings, periodic reviews and material changes to client relationships, with particular attention to higher-risk clients and complex structures.
• Prepare documented assessments and recommendations for submission to the Head Compliance, the AML specialist unit or the relevant committee, as applicable.
• Identify and promptly elevate material, unusual, complex or sensitive matters; follow through on agreed actions and maintain a clear audit trail.
• Conduct AML/KYC and enhanced due diligence reviews, including reviews of source of wealth, source of funds, beneficial ownership, complex structures, PEP exposure and other higher-risk factors.
• Review transaction-monitoring, sanctions and name-screening alerts and assess relevant information against the client file and expected activity.
• Support the analysis and documentation of potentially suspicious activity and prepare matters for escalation to the AML specialist unit or other competent decision-maker.
• Contribute to the effective operation and improvement of financial-crime controls, procedures, management information and remediation activities.
• Advise on cross-border compliance, investor protection and suitability, market conduct, conflicts of interest and related client-facing activities.
• Perform or support controls concerning personal account dealing, gifts and entertainment, employee conduct, anti-bribery and corruption, and other assigned compliance topics.
• Provide compliance input on new products, services, client propositions, projects, process changes and system developments within the scope assigned by the Head Compliance.
• Monitor relevant legal and regulatory developments, assess their potential impact, support implementation and maintain assigned regulatory change records.
• Draft and update compliance policies, procedures, guidance, risk assessments and management information, subject to appropriate review and approval.
• Develop and deliver compliance training and awareness activities and respond to follow-up questions from employees.
• Plan and perform assigned risk-based compliance monitoring activities and thematic reviews, including scoping, testing, documentation and reporting of findings.
• Assess the design and operating effectiveness of relevant first-line controls and provide constructive challenge and practical recommendations.
• Track agreed remediation actions, verify completion where assigned and elevate delays, weaknesses or recurring issues.
• Support internal and external audit requests and regulatory reviews by preparing accurate information and coordinating assigned follow-up actions.
• Prepare concise and accurate compliance reports, dashboards, committee papers and case summaries for review by the Head Compliance.
• Support the preparation of cases for the Client Acceptance and Review Committee and other relevant governance bodies, without holding independent decision-making authority.
• Lead or contribute to assigned compliance projects and process improvements, including collaboration with IT and data stakeholders on system requirements, testing and reporting.
• Share knowledge and provide subject-matter guidance to colleagues while remaining accountable for the quality and timely completion of assigned work.

Skills

Fluent German

Fluent English

Risk assessment

Stakeholder management

Analytical skills

Independent work

Education

University degree in law, business or equivalent

Tools

RegTech tools

Job description

Schroders Zürich is seeking a senior compliance professional to join our Risk, Compliance & Audit team. You will provide clear, risk-based guidance across front office, operations and other functions, with a focus on AML/KYC, sanctions and regulatory change.

You will review account openings, high-risk relationships and complex structures, and support remediation, reporting and governance through concise case summaries and collaboration with stakeholders.