Compliance Officer / MLRO
Skills
About the Role
You will ensure compliance with all relevant laws and regulations in Switzerland and Liechtenstein by developing and implementing policies and procedures. You will conduct compliance risk assessments, create and execute an annual compliance plan, and design second-line controls and testing. You will act as the MLRO, oversee AML/CTF obligations, represent the entities in regulatory matters, advise business units on compliance requirements, and conduct audits and reviews to keep policies up to date.
Requirements
- Solid experience as a Compliance Officer (second line of defense) in a regulated financial institution in Switzerland and/or Liechtenstein
- Exposure to MLRO responsibilities or similar functions
- Experience engaging with Swiss and Liechtenstein regulatory authorities
- Excellent knowledge of MiCAR, AML/CTF, market abuse and data privacy regulations
- Relevant degree, preferably in business or law
- Extensive experience implementing monitoring and control processes to support policies and procedures
- Compliance qualification such as ACAMS or a Masters in a related field is an advantage
- Understanding of the digital assets ecosystem is a major plus
Responsibilities
- Ensure compliance with relevant laws and regulations in Switzerland and Liechtenstein
- Conduct compliance risk assessments and develop an annual compliance plan
- Develop and implement second-line controls and perform control tests
- Assess future business activities for potential compliance risks
- Communicate policies and procedures to relevant employees
- Ensure compliance trainings are effective and up to date
- Monitor regulatory changes and update policies and procedures
- Collaborate with Trading Operations, Finance, Risk Management, IT and Security to integrate compliance requirements
- Oversee AML obligations for Switzerland and Liechtenstein entities and act as MLRO
- Carry out MLRO duties according to the AML/CTF Framework
- Represent the firm in matters of money laundering prevention internally and externally
- Serve as a subject matter expert on AML/CTF and provide guidance to departments
- Conduct regular audits and reviews to ensure compliance with AML/CTF and internal policies
- Draft compliance observations and recommendations and assist with management information reports
Benefits
- Flexible working hours
- Opportunity to work remotely
- Autonomy in time management