Control Room Compliance Officer

Zürich  ‐ Vor Ort
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Beschreibung

Key Responsibilities:

  • 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
  • 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
  • Banks Information Barrier policies and dealing with potential conflicts of interest

Essentials Skills and Qualifications:

  • Up to 4 years of experience in banking/financial services (compliance, operations, first line of defense)
  • Ability to identify situations requiring escalation
  • Good analytical skills
  • Good communication skills
  • Fluent in English

In case that you are matching the above listed skills, living in or close to Zurich, and you are for a new assignment as of now (latest April 2019) please forward me your CV via this website.

The Stamford Group, Stamford Consultants and Talentis Solutions are brands of Allegis Group. By applying to our advertised job posting, you agree to the transfer and processing of your personal information by Allegis Group outside of Switzerland to one of our group companies, service providers or clients as described in our Privacy Notice. Further information on the compliance solutions we use is available in the "International Data Transfers" section of our Privacy Notice. Please note when you provide us with your data, we will share it within Allegis Group which involves the transfer of such data outside Switzerland and the European Economic Area, subject to the protections described in the Allegis Group Privacy Notice.

Start
ab sofort
Dauer
11 + extentions
(Verlängerung möglich)
Von
Stamford Consultants AG
Eingestellt
16.02.2019
Projekt-ID:
1721647
Vertragsart
Freiberuflich
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