Switzerland Job Openings

Saxo Bank

Compliance Officer

Zürich

FULL TIME

August 19, 2024

Zurich, Switzerland

About the job:

As a compliance officer, you will play a vital role in safeguarding our reputation and ensuring our compliance with the relevant laws and regulations. You will work closely with the business and the technology teams to identify and mitigate compliance risks, and to provide guidance and advice on compliance matters. You will also be involved in developing and implementing compliance policies and procedures, and conducting compliance training and monitoring. You will be part of a global team of compliance professionals who share a passion for excellence and innovation.

Leader’s quote:

“Join our global team of Compliance Experts and help us ensure a ‘best in class’ and compliant trading environment for our clients.” - Head of Compliance

Responsibilities

Monitor and assess the compliance risks and controls of the business activities and processes in your role as 2nd Line of Defense Compliance.
Provide compliance advice and guidance to the business and the technology teams on various compliance topics, such as anti-money laundering, market abuse, client protection, data privacy.
Develop and update compliance policies and procedures in line with the regulatory requirements and the best practices.
Conduct compliance training and awareness programs for the staff and the management.
Perform compliance testing and reviews to ensure the effectiveness of the compliance framework and the adherence to the compliance policies and procedures based on the Group wide Risk Taxonomy & activity plan.
Support to prepare and submit compliance reports and notifications to the regulators and the senior management.
Keep abreast of the regulatory developments and the industry trends, and assess their impact on the business and the compliance framework (e.g. ESG, Margin Lending, Marketing Risks, Natural Risks, Financial Risks, Swiss Tax Compliance (KYC & Tax Evasion).

How do you succeed:

You succeed in this role if you have a strong compliance mindset and a keen interest in financial products & passionate about investing and trading the financial markets. You are able to work independently and proactively (“hands-on-mentality”), as well as collaboratively and constructively with different stakeholders in an international environment. You have excellent communication and interpersonal skills, and you can explain complex compliance issues in a clear and concise manner. You are detail-oriented, if necessary and analytical, and you can identify and solve problems effectively. You are flexible and adaptable, and you can cope with a fast-paced and dynamic environment. You are also willing to learn and grow, and you embrace challenges and changes with a positive attitude.

Your profile:

We are looking for a candidate who has the following qualifications and experience:

A bachelor's degree or higher in law, finance, accounting, or a related field (e.g. Federal Diploma in Banking, Banking Expert FH, CAS/DAS in Compliance Management).
At least 3 years of relevant experience in compliance, audit, risk, or legal in the financial services industry, preferably in a brokerage, a bank or similar (e.g. Audit or a Consulting company).
Sound knowledge of the financial markets and the Swiss regulatory environment, especially in the areas of anti-money laundering, market abuse, client protection, data privacy.
Knowledge of relevant EU Law (e.g. Mi FID, GDPR, ESMA, FATF, EU-AMLD). Swiss Tax Compliance knowledge as a plus (VAT, stamp tax, withholding tax).
Fluent in English and preferable German or French speaking. Knowledge of other languages is a plus.
Proficiency in Microsoft 365 Office applications, especially Excel and Power Point. Knowledge of compliance tools and systems is a plus.
Balanced personality with good organizational and operational skills and solution-oriented mindset.

We get curious people invested in the world

When you work at Saxo, you become a Saxonian and part of a purpose-driven organisation, where good ideas are always taken seriously, and where you can make a true impact. We are invested in your development, and you can expect a robust career from day one when you join Saxo – no matter which role you take on.

You will join 2,500 other ambitious colleagues across 15 countries and become part of an international organisation. Working in Saxo, you will get to meet colleagues from many different cultures and backgrounds, and you should know that we value diversity and inclusion and see it as a genuine source of strength to drive growth, foster innovation and position us for long-term success.

We encourage an open feedback culture and supportive team environments enabling employees to grow and fulfil their career aspirations.

When you bring passion, curiosity, drive and team spirit, your learning journey will be dynamic and your career opportunities in Saxo will be immense.

At Saxo we don’t just offer a job – we offer an opportunity to invest in your future!

How to apply :

Click here to create an account and upload your resume and a short motivation. We look forward to getting to know you better!

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