Description
For a project at our client‘s site, an international bank based in Zurich, we are looking for an experiencedControl Room Compliance Officer - Investment Banking (6077)
Your Qualifications:
• Up to 3-4 years of experience in banking / financial services (compliance, operations, first line of defense)
• Experience in legal/compliance/audit with a global financial services organization
• Working knowledge of federal banking regulations
• Able to work well under pressure and on multiple tasks concurrently with good communication skills
• Fluency in English (written and oral), German is an advantage
Your Responsibilities:
• Setting relevant restrictions for the different businesses in the bank
• Assessing Information Barrier Status for certain businesses as well as review Research against items on the Watch and Restricted List
• Ensuring regulatory Compliance with transaction containing material non-public information (M&A transaction, capital increase etc)
• Advising on information barriers, client confidentiality on need-to-know principle as well as dealing with inside information
• Maintaining Watch and Restricted Lists (logging inside information in the system, applying relevant restriction codes) Implementation of and advice on Research, Sales and Trading restrictions
• Reviewing Equity and Fixed Income Research against items on the bank's Watch and Restricted List ensuring compliance with regulatory requirements, the Information Barrier policies and dealing with potential conflicts of interest
Off to new destinations! Apply now directly on or contact our team on .