Senior Compliance Officer - AML ON-BOARDING AND PERIODIC REVIEW

We are seeking to recruit a Lugano-based Senior Compliance Officer. The successful candidate will support the Compliance Team in all its daily activities with a particular focus on Anti-Money laundering (AML) onboarding and periodic review.

Key Responsibilities

• Evaluate high risk and PEP account opening : assessment of Know your Customer (KYC) accuracy, completeness and plausibility including source of wealth, flow of funds, tax compliance, risk classification, cross-border risk etc.
• to ensure that risks are adequately mitigated by Front Office;
• preparation and presentation of high risk and PEP cases to account opening committee;
• review client files to ensure adherence to regulatory requirements and internal policies and take remedial action as necessary : conduct comprehensive and holistic Compliance analysis and provide recommendations regarding existing clients including PEP and high-risk accounts for individuals and legal entities;
• advise and support to front office on matters relating to Anti-Money laundering (AML), Know your Customer (KYC) and the Swiss Banks' code of conduct in the context of the exercise of due diligence (CDB20) and any other compliance matters relevant to the periodic review;
• collaboration with various stakeholders as necessary;
• escalate potentially suspicious activity to the MROS;
• draft MROS suspicion report and other correspondences;
• establish, maintain and share knowledge and best practices within the Compliance team and prepare business cases or conduct training to Front Office;
• support compliance team on other tasks as needed;
• conduct regular compliance risk assessment and audits to identify areas of potential risk and non-compliance

Branche : Bankwesen

Funktion : Anderes

Führungsperson : Nein

Anstellungsart : Festanstellung

Karrierestufe : Angestellte / r

Schul- / Studienniveau : Bachelor

• University Degree in Business Administration, Economic, Law or similar; Diploma of Advanced Studies in Compliance is mandatory;
• 5+ years' experience in compliance, with a focus on private banking and wealth management;
• strong understanding of regulatory requirements applicable to the financial services industry; excellent knowledge of swiss regulations covering AML, Sanctions (SECO, OFAC, EU), Market Abuse, Fatca, CRS;
• fluent Italian and English compulsory. Other languages would be a plus;
• detail-oriented with strong analytical and problem-solving attitude; rigorous and synthetic, with ability to work thoroughly, flexible and independently;
• good communicator, team player and with an active attitude taking full ownership of his / her tasks and area of responsibility;
• solution-oriented with a pragmatic approach and readiness to work closely with colleagues and stakeholders, internally and externally;
• ability to work under pressure, to prioritize and to take clear decisions;
• very good writing skills;
• good MS Office skills;
• must be resident in Switzerland or willing to relocate.
Vor 15 Stunden