2808 compliance jobs found

Are you eager take up a new challenge?  Join the Compliance Department as a Deputy Compliance Officer to provide support to the Department’s daily activities. You will have multiple tasks, which include in particular: Handling counterparties information requests Conduct various types of internal controls Contribute to drafting country jurisdiction AML assessments Contribute to drafting/proofreading internal memos, reports and presentations Support the team on key regulatory projects Provide administrative support to the team (statistics, etc.) Qualifications Graduated in Laws, Economics, or a related field (or equivalent experience) 2-3 years of experience in the financial industry (Big Four or Bank) Knowledge of Swiss AML regulations (AMLA, AMLO-FINMA, CDB) Excellent command of Excel, Word and PowerPoint Very good writing skills in both French and English Excellent communication and collaboration skills Analytical and methodological approach Excellent sense of...

As a Compliance Assistant, you will be part of the Compliance Department and work in the Monitoring Team of the Compliance Service. You will be mainly in charge of following tasks: Treatment of the alerts resulting from the screening of the clients ‘database Treatment of sanctions-related alerts Qualifications Graduated in Laws or in Economics is a strong asset Interest in the financial industry Excellent command of English and French is an asset Analytical and methodological approach Flexible and able to handle a variety of tasks Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment  

As a Compliance Assistant, you will be part of the Compliance Department during 9 months and will work in the Reviews and Investigations team. You will have multiple tasks, which include: Contribution to the analysis and drafting of MROS reports. Support in investigations, enhanced due diligence analysis. Support and advice to the Front line Support to the team within the review of key clients’ files Review of client’s account documentation (private clients, companies, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB) Qualifications Bachelor degree, preferably in Laws or in Economics 1-2 years of experience in Compliance or similar position Excellent command of English and French (German and/or Italian would be a strong asset) Analytical and methodological approach Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment

Are you eager to take up a new challenge? Join the Compliance Department as a Compliance Officer in the Onboarding Corporate Team. You will have multiple tasks, which include: Due diligence on account opening requests Review of client’s account opening files (corporate structures such as active and passive entities, financial institutions, asset managers, trusts, collective investments schemes) from an AML/CTF (AMLA, AMLO-FINMA, CDB) and sanction standpoint Review within the account opening process of tax compliance aspects such as FATCA and CRS as well as cross-border aspects Drafting of internal memos and contribution to the drafting of procedures Optimization of internal processes and guidelines Participation in key regulatory projects Review of client’s account modification requests (e.g change of beneficial owner, authorized signatories, directors, correspondence address) Support and advice to the Front line and management Qualifications Bachelor or Master...

As a Compliance Officer, you will be part of the Compliance Department and work in the Compliance Department – Onboarding Private Team. You will have multiple tasks, which include: Due diligence on account opening requests Review of client’s account opening requests of private clients from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB). Review of tax compliance aspects, such as FATCA and CRS (automatic exchange of information) Contribution in drafting internal memos and procedures Participation in reviews of key clients Participation in key regulatory projects Optimization of internal processes and guidelines Support and advice to the Front line and management Qualifications Bachelor or Master Degree, preferably in Laws or in Economics Minimum 5 years of experience in the Compliance field Knowledge of Swiss AML laws (AMLA, AMLO-FINMA, CDB) and other applicable regulations  Excellent command of English and French (Russian is a strong asset) Ability to multi-task...

As a Compliance Assistant, you will be part of the Legal & Compliance Department and work in the Monitoring Team of the Compliance Service. You will have multiple tasks, which include: Analysis and validation from a compliance and AML perspective of cash and security transfers Perform due diligence analysis and further clarifications from an AML perspective Review of higher risk transactions Participation in key regulatory projects Analysis and validation from an international sanction perspective of cash and security transfers Qualifications Graduated in Laws or in Economics is a strong asset Interest in the financial industry Excellent command of English and French (German is a strong asset) Analytical and methodological approach Flexible and able to handle a variety of tasks Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment Additional Information    

As a Compliance Assistant, you will be part of the Compliance Department, you will have multiple tasks, which include: Review of client’s account opening requests of private clients from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB). Review of tax compliance aspects, such as FATCA and CRS (automatic exchange of information) Contribution in drafting internal memos and procedures Participation in reviews of key clients Participation in key regulatory projects Optimization of internal processes and guidelines Support and advice to the Front line and management Qualifications Bachelor or Master Degree, preferably in Laws or in Economics Minimum 2 years of experience in the Compliance field, Excellent command of English and French (German is a strong asset) Analytical and methodological approach Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment Additional Information SQ1

We are looking for a dedicated and detail-oriented Compliance Officer to join our team. The ideal candidate will have excellent attention to detail, strong organizational abilities, and a solid understanding of back-office processes. If you’re eager to make an impact within a dynamic team and a great company, we invite you to apply for the role today! MAIN DUTIES AND RESPONSIBILITIES  Conduct internal compliance risk assessments and report relevant monitoring findings and recommendations for correction of any deficiencies to the Head of Compliance. Provide support in the design and development of the internal practices, processes, procedures, and controls to meet the compliance requirements of CySEC and other applicable rules and regulations. Handling of Account Opening procedures: High risk individuals and corporates (clients and partners) Monitoring of client transactions, closely collaborating with relevant internal departments particularly with the technical and...

As a Compliance Manager, you will be part of the Compliance Department and will be in charge of a Compliance team mainly responsible for the onboarding of private clients. You will have multiple tasks, which include: Ensuring the team’s mission is achieved and the service levels are respected Ensuring the application of the Bank’s internal regulations in the field of AML, tax compliance and cross-border Providing support to the front line and ensuring the resolution of compliance issues Managing key regulatory projects in the field of AML Updating policies and procedures following regulatory and systems changes Training and coaching the team and the front line. Qualifications  Minimum 5 years of experience in a compliance or similar position and minimum 2 years of experience as team leader Law degree and/or CAS in Compliance in Financial Services (formerly CAS in Compliance Management) are strong assets Excellent knowledge in Swiss banking and financial laws,...

Are you eager to take up a new challenge? Join the Compliance Department as a Compliance Officer in the Compliance Support and Sanctions team. You will have multiple tasks and on top of sanction topics, you will be exposed to a wide range of Compliance activities on the financial security aspect. Your role will include: Sanctions: Support and advise other compliance officers on sanction related topics Regulatory watch on sanction news impacting the bank and analysis of the impact on our client database Reporting: Prepare the various reports aimed at piloting the Compliance activity Contribute to the bank’s monitoring of key risk indicators Support ad hoc reporting requests: special requests, audits, regulatory reviews etc. Data Analysis: identify, collect, clean, analyse and interpret the result of your analysis Projects Assist in managing the various projects impacting the Compliance department Others: Drafting of internal memos and presentations Support and...

Are you eager to take up a new challenge? Join the Compliance Department as a Compliance Officer in the Onboarding Corporate Team. You will have multiple tasks which include: Analysis of account opening requests from corporate clients (such as active/passive entities, trusts, collective investments schemes, financial institutions, external asset managers, etc.) from an AML/CTF (AMLA, AMLO-FINMA, CDB 20) and sanction standpoint. This includes the review of tax compliance aspects, such as FATCA and CRS Drafting of internal memorandums, especially regarding HRR corporate clients Optimization of internal processes and guidelines, contribution to the drafting of procedures Participation in key regulatory projects Support and advice to the Front line and management Qualifications Bachelor or Master Degree preferably in Laws/Economics or proven relevant experience in the banking sector Minimum 3 to 5 years of experience in  a similar position within a financial institution,...

As Tax Compliance Officer, you will be a member of the Tax Compliance team, in charge of managing international tax compliance matters, i.e. mainly QI, FATCA and AEOI. You will be reporting directly to the Tax Compliance Manager and, ultimately, the Head Tax Compliance & Cross-Border. Your role and main responsibilities will be the following: Participate in audits, such as QI certifications, by conducting pre-audit controls, assisting during the audit process and following-up on audit results Contribute to operational tax compliance tasks, including in second-line defence controls and the timely preparation of tax compliance reports, with a focus on corporate structures Provide support to various Bank departments and other entities of the Group, particularly in matters related to the opening and monitoring of corporate structures Stay up-to-date with developments in tax compliance, analyse relevant regulations and translate them into clear procedures (e.g. CARF), ensuring...

As a Compliance Officer, you will be part of the Legal & Compliance Department and work in the Monitoring Team of the Compliance Service. You will have multiple tasks, which include: Analysis and validation from a compliance and AML perspective of cash and security transfers Perform due diligence analysis and further clarifications from an AML perspective Review of higher risk transactions Participation in key regulatory projects Analysis and validation from an international sanction perspective of cash and security transfers Qualifications Graduated in Laws or in Economics is a strong asset 3-5 years of experience in the Compliance Monitoring thorough knowledge of the AML/CDB regulatory requirements Interest in the Financial industry Knowledge of crypto is an asset Excellent command of English and French (German is a strong asset) Proficiency in Microsoft Office is a strong asset Analytical and methodological approach Flexible and able to handle a variety...

The HR Compliance Officer ensures that the organization adheres to all HR-related legal, compliance and regulatory requirements. This role involves monitoring, reporting, and updating HR policies and procedures in line with evolving laws and corporate guidelines, coordinating HR compliance cases and audits to safeguard the organization's ethical and regulatory standards. Ensure adherence to local, regional, and global HR compliance laws and regulations. Monitor regulatory updates and recommend policy changes to remain compliant. Develop and oversee processes for monitoring and addressing reported cases related to the HR Policies. Develop, review, and update HR policies and procedures to reflect changes in legislation and internal guidelines in cooperation with other HR teams. Partner with internal departments (legal, finance, and operations) and external advisors to align HR policies with organizational standards. Participate in the training to raise awareness of HR...

About the job Compliance Officer, MLRo About EXANTE EXANTE is a wealth tech company that provides centralized trading solutions and B2B financial infrastructure that helps create value through technology. Our proprietary trading platform enables market access to 1M financial instruments from a single multi-currency account, including stocks, ETFs, bonds, futures, and options. We are a fast-growing global company with 600+ employees across 70+ locations, representing 60 nationalities and regulated in various jurisdictions. As a Financial company, we know our investment priorities.  We invest in our people. Join us in creating a new standard for wealth management:  https://exantecareers.com   About the Role The Compliance Officer is responsible for monitoring and assessing the adequacy and effectiveness of the measures and procedures, designed to detect any risk of failure by the Company to comply with its obligations under...