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Senior Compliance Officer

Department
Compliance
Branch
Geneva
% employment type
100
Mission
  • REYL INTESASANPAOLO is looking for a Senior Compliance officer, this person will join Compliance team in day-to-day activities. The Senior Compliance Officer should be a person with a broad knowledge of industry best practices and regulatory trends, in particular for us it’s important to find a person with a good know-how of corporate finance processes.
Responsibility


Provide compliance coverage focused on the following Business Lines:

MARKET ABUSE AND LSFIN ACTIVITIES 

  • Best execution control
  • Suitability and appropriateness testing
  • Market abuse monitoring

ASSET SERVICES ACTIVITIES

  • (institutional investment consulting & delegation, custody services (banks & collective investment schemes), trading, fund governance and set-up 
  • Analysis and set up of prospects’ onboarding files (e.g. for collective investments schemes: analysis of prospectus, custodian agreement, asset manager/advisor agreements, due diligence on each involved counterparty);
  • Liaison and coordination with Asset Services onboarding committee;
  • Analysis of complex transactions;
  • Ongoing supervision and monitoring.

CORPORATE FINANCE (“CF”) ACTIVITIES

  • (mergers & acquisitions, equity capital markets, private debt, restructuring, private equity, club deals, art finance)
  • Organisation, set-up and maintenance of bespoke CF compliance processes (chinese walls, conflict checks);
  • Analysis of prospects’ compliance backgrounds; 
  • Liaison with CF onboarding committee;
  • Analysis of complex transactions;
  • Ongoing supervision and monitoring.
  • Knowledge of Anti-Bribery and corruption regulations; 
  • Perform operational activities as regards the keeping of registers (insider list, conflict of interest, etc.) and preparing reports and communications;

OTHER COMPLIANCE TOPICS:

  • Conduct compliance inspections, review and upkeep of compliance-related manuals, routine compliance checks;
  • Knowledge of financial institutions, correspondent banking and Brokers and services; 
  • Onboarding and review of External Asset Managers and Business Introducers  ;
  • Maintain proper file and documentation for audit and inspection;
  • Perform an investigation on accounts or relationships where there are real or potential cross border and Code of Conduct risks;
  • Liaise with the onboarding committees in relation to transaction monitoring to ensure that AML risks are mitigated/coordinated with the respective RMs, introducers or execution teams;
  • Prepare all necessary correspondence;
  • Conduct periodic reviews;
  • Staff training (e.g. code of conductcross border);
  • Agreements review;
  • Update regarding national and international law, regulation and court rulings
  • Due diligence questionnaires / Third parties requests
  • Supporting the Head of the Compliance Unit in managing the relation with the Supervisory Authorities, as well as with internal and external auditors;
  • Supporting the Head of the Compliance Unit in managing Supervisory Authorities’ inspections and visits;
  • Supporting the Local Compliance Officer in drafting the reporting information flows, concerning compliance, required by Local Authorities; 
  • Support the Head of the Compliance Unit in managing roll-out of policies and procedures to staff and provide training as necessary in support of awareness;
Profile
  • Relevant experience, at least 5-7 years banking experience in a similar job;
  • Good knowledge of collective investment funds and custody services for institutional clients;
  • University degree or equivalent;
  • Advanced research, writing and analytical skills;
  • Fluent in English and French, German would be an asset;
  • Good ability to working with MS Office tool, Knowledge of FINNOVA, PM1 and of the SteelEye tool would be an asset.
  • Ability to work independently, make informed decisions, and determine own priorities;
  • Ability to work collaboratively and across services;
  • Ability to multi-task and execute tasks with a sense of urgency with the ultimate goal being to deliver on tasks in a crisp and timely manner;
  • Swiss nationality (or C permit) with Swiss residence.