Senior Risk & Compliance Officer

Bank Pictet & Cie (Europe) AG, succursale de Luxembourg; Ralingen; Vor Ort; EUR 60.000 - 80.000; Vollzeit

Zusammenfassung

A leading investment firm in Rheinland-Pfalz seeks a Compliance Officer to ensure regulatory compliance within the Trading & Sales department. Responsibilities include managing market and operational risks and advising trading personnel. Candidates should possess a Master's in Finance, 5 years of experience, and strong knowledge of European Law. Fluency in French and English is required.

Leistungen

Flexible working arrangements

Parental leave

Qualifikationen

• Very good knowledge of European Law and regulatory requirements.
• Familiarity with Wealth Management and Asset Servicing.
• Ability to manage and lead projects.

Aufgaben

• Ensure compliance with European regulations.
• Execute a controls testing program.
• Advise sales and trading personnel.
• Monitor outsourced material functions.
• Participate in supervisory authorities' inspections.

Kenntnisse

European Law knowledge

Data analytics and visualization tools

IT systems proficiency

Proactivity and autonomy

Analytical ability

Communication skills

Team spirit

Organisational skills

Ausbildung

Master’s degree in Finance

5 years of relevant experience

Tools

Tableau

Jobbeschreibung

Pictet is an investment-led service company, offering wealth management, asset management and related services.

We are an independent investment partnership known for our long-term mindset, responsible approach to business and entrepreneurial spirit. These principles have defined us since 1805. For our clients, colleagues, and wider society, we always aim to do the right thing and honour our commitment to enduring quality.

With more than CHF 686 billion in assets under management or custody as of December 31st 2023, Pictet is today one of the leading Europe-based independent wealth and asset managers.

The Group is headquartered in Geneva, where its activities began, and employs more than 5000 employees. With 30 offices, it is also present in Amsterdam, Basel, Barcelona, Brussels, Dubai, Frankfurt, Hong Kong, Lausanne, London, Luxembourg, Madrid, Milan, Monaco, Montreal, Munich, Nassau, Osaka, Paris, Rome, Shanghai, Singapore, Stuttgart, Taipei, Tel-Aviv, Tokyo, Turin, Verona, Shanghai, New York and Zurich.

Your team

The Pictet Group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented at 30 offices in financial centres worldwide, and currently employs over 5200 people. Pictet has been present since 1989 in Luxembourg, where it employs over 700 people.

Pictet Trading & Sales provides direct access to global markets, offering bespoke trading solutions across a wide range of asset classes. Our sales traders, IT specialists, strategists and quant analysts are supported by a full suite of risk and control functions as well as the latest technology capabilities.

Your role

The role of the function is to act as a first line of defence segregated (“L1S”) within the Trading & Sales department of Bank Pictet & Cie (Europe) AG, in Luxembourg.

• Ensure compliance with European regulations by analyzing the trading division's various processes from the angles of Market Risks, Operational Risks, and Market Infrastructure Risks.
• Execute a controls testing program designed to ensure that policies and procedures are reasonably designed to achieve compliance with applicable regulations.
• Support and advise sales and trading personnel, reviewing, and resolving daily exceptions relating to trading activity (Trusted Advisor) daily but also as part of the implementation of regulatory projects in compliance-related areas.
• Monitor the network of entities to whom we have outsourced material functions (Oversight), reporting on the KPIs and risks, and providing insight on the potential evolution of the oversight framework.
• Actively participate in and contribute to the coordination and gathering of information required as part of monitoring by the supervisory authorities (On-Site & Off-Site Inspections), and missions carried out by the internal and external audit functions as a member of the L1S R&C team.

Your profile

Technical skills

• Very good knowledge of European Law and regulatory requirements and practices, particularly in the areas of Market Infrastructure and related topics.
• Familiarity with Wealth Management and Asset Servicing. Previous experience in data analytics and visualization tools (e.g., Tableau).
• Ability and facility in the use of IT systems and new technologies.

Soft skills

• Ability to manage and lead projects, and an affinity for contemporary risk management methods and data-based Compliance risk management solutions.
• Proactivity and autonomy.
• Analytical ability (investigative skills), sense of proportionality (Risk-Based Approach) and critical thinking (Professional Judgment).
• Editorial and communication skills, sense of diplomacy.
• Team spirit (solidarity).
• Discretion, rigour, and organisational skills.

Education

• Master’s degree in Finance and / or relevant experience.
• 5 years experience in a similar position.

Language skills

• Fluent in French and English.

Note

We will not accept any CVs from agencies.

In accordance with the provisions of the Luxembourg law of 23 July 2016 amending the law of 29 March 2013, candidates may be required to provide an extract from their criminal record. This document, issued by the authorities, must not be older than three months. Such a document will be requested with the aim of carrying out a character check on candidates, bearing in mind the area of activity of our establishment and, more particularly, the tasks described in the job description.

Flexible and modern ways of working

As a responsible and supportive employer, we promote the well‑being of our employees through a set of flexible working arrangements, ranging from a work‑from‑home policy for eligible functions to opportunities for annualised part‑time leave and extended parental leave.

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.