Head of Compliance Onboarding & Periodic Reviews
Lead and manage the Onboarding & Periodic Reviews team (approx. 15+ people) within the legal entity EFG Bank AG, spread over the 3 locations : Zürich, Geneva and Lugano and oversee all KYC / AML processes and procedures to ensure proper risks management and adherence to the internal framework and regulatory requirements.
Main Responsibilities
- Oversight of Onboarding & Periodic Reviews activities.
- Management of the Onboarding & Periodic Reviews team over the 3 locations,, defining priorities, setting goals and leading people.
- Provide support and guidance to the team and the front office.
- Escalate sensitive and / or urgent issues to the Head of Financial Crime or her deputy.
- Collaborate and maintain strong relationships with with the First Line of Defense (FLoD) and other stakeholders as well as with foreign Compliance units.
- Prepare, participate and follow-up on internal and external audits.
- Preparation of management reports, statistics and KPI for internal use and for Group Compliance.
- Prepare and provide trainings and workshops to compliance and front office.
- Keep abreast of the current development of regulatory changes that may affect the business or the process / procedure, and propose appropriate strategies and measures to be taken.
- Promote compliance awareness and support the development of risk culture within the bank.
- Maintain and enhance Onboarding & Periodic Reviews processes, systems and tools by participating to projects, reviewing and / or developing internal guidelines and supporting the development of new tools.
Professional Skills
- 8+ years of experience in Compliance with strong track record in compliance knowledge, in particular in client onboarding but also in financial crime and transaction monitoring.
- Certificate of advanced studies in Compliance and / or other specialized certificates are a plus.
- Strong leadership.
- Strong knowledge of Private banking, Wealth Management and Asset Management.
- Good understanding of commercial challenges.
- Solution-driven and pragmatic mindset.
- Flexibility and resourcefulness.
- Strong ability to work across different functions.
- Flexibility to travel around Switzerland on a regular basis.
- Strong interpersonal skills.
- Fluent in English as well as in French and / or German and / or Swiss German and / or Italian.
Our Values
- Accountability : Taking ownership for tasks and challenges as well as seeking continuous improvement
- Hands-on : Being proactive to rapidly deliver high-quality results
- Passionate : Being committed and striving for excellence
- Solution-driven : Focusing on client outcomes and treating clients fairly with a risk-aware mindset
- Partnership-oriented : Promoting collaboration and teamwork. Working together with an entrepreneurial spirit.
Head of Compliance Onboarding & Periodic Reviews
Oversight of Onboarding & Periodic Reviews activities. Management of the Onboarding & Periodic Reviews team over the 3 locations,, defining priorities, setting goals and leading people. Maintain and enhance Onboarding & Periodic Reviews processes, systems and tools by participating to projects, revi...
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