Baer AG seeks a Compliance Officer for Intermediaries in Zürich. This mid-level role focuses on KYI reviews, AML investigations, and regulatory compliance within Private Banking.
This position serves as the dedicated center of competence and primary contact for Intermediaries and Finders matters within the Private Banking Compliance team. The role ensures adherence to regulatory standards while supporting relationship managers and management in navigating complex compliance landscapes.
Responsibilities
- Execute onboarding processes and periodic reviews for Intermediaries and Finders, including thorough risk assessments and KYI profile evaluations.
- Advise and supervise relationship managers and leadership on compliance matters specific to Intermediaries and Finders.
- Carry out Anti-Money Laundering (AML) investigations as needed.
- Assess and update local policies and procedures when necessary.
- Detect and investigate significant instances of non-compliance.
- Collaborate with internal and external stakeholders to ensure alignment.
- Foster a strong compliance culture among staff to reduce legal, regulatory, sanctions, and reputational risks.
- Assist with compliance projects and track progress on internal and regulatory audits.
- Develop and deliver training materials and sessions on Intermediaries, Finders, compliance, and AML topics.
- Provide additional support for Intermediaries and Finders tasks, including establishing frameworks and defining methodologies.
Requirements
- Bachelor's degree in law, economics, business administration, or a banking-related field.
- 3-5 years of experience in compliance, risk management, or audit functions related to Intermediaries (such as asset managers and family offices).
- Solid understanding of the Swiss regulatory environment, especially AML regulations and client documentation standards.
- Fluent proficiency in English.
Nice to have
- Proficiency in additional languages.
About the company
Baer AG cultivates a workplace that celebrates individual qualities, empowering employees to be impactful, entrepreneurial, and driven. The company is committed to shaping the future of wealth management collaboratively with its team.
- Values individual qualities to empower employees.
- Encourages an entrepreneurial and impactful work environment.
- Focuses on shaping the future of wealth management together with employees.
How to apply
Documents to submit:
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