Head of Legal and Compliance

Job Description

• Lead the Legal and Compliance function
• Advise Senior Management on legal and regulatory requirements
• Implement and execute the corporate risk and compliance strategy
• Ensure policies meet the Swiss regulator requirements and personally conduct internal communication and training sessions across the Swiss office
• Monitor and apply the latest Swiss regulator legislation to daily operations
• Prepare and submit monthly and quarterly Compliance reports to the Swiss regulator and internal stakeholders
• Manage and participate in regulatory audits
• Executive and continuously improve Credit Risk and Compliance processes
• Process KYC and AML checks for client on boarding
• Monitor and review client portfolios and transactions on an ongoing basis
• Directly investigate suspicious activity and filing reports
• Acting as MLRO Switzerland
• Design and execute the compliance monitoring and controls plan
• Oversee and support the account opening team
• Conduct the annual compliance risk assessment
• Manage and update the the policy governance framework
• Serve as Secretary to the Board and Board Committees
• Organize and manage shareholders meetings and communications
• Review, negotiate and draft all legal agreements for the bank