Senior Compliance Officer - Client Onboarding
Wer sich für eine Karriere bei Lombard Odier entscheidet, ist für einen renommierten, globalen Vermögensverwalter und Asset Manager tätig, der sich auf nachhaltige Investitionen fokussiert. Wir sind eine unabhängige und innovative Bank erster Wahl für private und institutionelle Kunden. Unsere Gruppe ist eine der bestkapitalisierten weltweit. Wir verwalten rund CHF 300 Milliarden und sind auf vier Kontinenten von über 25 Niederlassungen aus tätig.
Mit unserer über 225-jährigen Geschichte sind wir ein Investmenthaus mit umfassendem Angebot an diskretionärer und beratender Portfolioverwaltung sowie Finanzdienstleistungen. Unsere hochmoderne Technologie-Plattform vermarkten wir auch erfolgreich an andere Finanzinstitute. Über Lombard Odier Investment Managers bieten wir Vermögensverwaltungsdienstleistungen und Anlagestrategien an.
"Rethink Everything" ist unsere Philosophie – sie steht im Zentrum unseres Handelns. Wir sind durch mehr als 40 Finanzkrisen stärker geworden, indem wir die Welt um uns herum ständig neu gedacht haben. So bieten wir unseren Kundinnen und Kunden stets neue Anlageperspektiven.
YOUR MISSION:
Operational tasks
- Oversee the day-to-day activities of the Geneva based onboarding team by providing expert advice, direction and support to team members to ensure efficient and effective onboarding reviews via consistent application of policies and procedures;
- Ensure daily case distribution of account openings subject to medium, high, very-high risk and PEP classification by expertise and capacity;
- Ensure quality control for cases requiring Due Diligence Committee presentation due to elevating risks (high risk, very high risk and PEP clients)
- Perform quality control for daily overnight screening performed by the team
- Lead testing control of low risk account validations performed by 1LoD
- Ensure identification of new talents, their integration and onboarding (access setup, training, quality control, etc.);
- Be a key interlocutor for the first line of defense across all markets, including 1LoD review teams and business risk management units;
- Support the Head of Client Onboarding and Review with internal and regulatory audits focusing on client onboarding;
- Participate to tactical and strategic projects in order to enhance onboarding review process, systems and tools
- Support defining reviewing and developing standard operating procedures and guidelines
- Assist the Head of Client Onboarding and Review with the treatment of escalated cases/queries;
- Act as sparring partner to Zurich based Onboarding Team and Client Review Team as well as other CMPL colleagues and stakeholders
- Promote the team’s dynamics and strengthen collaboration with other groups/departments
Strategic tasks
- Identify shortfalls in and/or potential improvements to policy and process with proposal how to enhance
- Assist the Head of Client Onboarding and Review with identifying complex, sensitive and emerging issues, and propose policies, strategies and recommendations to develop effective compliance frameworks;
- Proactive identification of quality and process deficiencies with first line with proposal how to address
- Participate in and lead (where applicable) business improvement initiatives including the development and maintenance of IT systems, policies and business process to improve operational efficiency and effectiveness.
Management tasks
- Coach, mentor and provide feedback to improve performance and develop skills of team members; initiate performance management actions where applicable
- Perform daily capacity management and ensure business continuity in case of absences. Inform Head of Onboarding and Review in case of sustainable shortcomings faced for strategic resolution
- Support the Head of Onboarding and Review in the strategic setup of the client onboarding and review unit, including identification of new talents
- Assess qualitative (profile) and quantitative (number) needs of staff and submit a proposal to the Head of Onboarding and Review.
DESIRED PROFILE:
- 10 years of experience in Due Diligence and AML work in the financial services industry
- Minimum 3 years of experience as manager / team lead in a run the bank organization subject to transformation and innovation
- Fluency in French and English is mandatory with additional languages as nice to have asset
- Used to handle complex client cases such as High Risk, PEP classified clients and Complex Structures
- Having thorough experience of handling various aspects of due diligence such as AML, CDB, FATCA, Tax and CRS
- Bachelor’s degree in law (or equivalent) or evidence of comparable academic / work achievement
- Ability to summarize complex topics, to drive practical outcomes and to make sound decisions or proposals, including escalation when appropriate, as well as the ability to work well under pressure and against short deadlines
- Capability to guide compliance officers in developing and writing detailed compliance assessments in English with clear documentation of risks and development of mitigants
- Strong interpersonal, communication, presentation and influencing skills. In particular, a proven ability to foster productive relationships with front office staff and senior management;
- Resident in Switzerland. 100% office job in Geneva with no possibility of remote work.
Fünf Werte definieren die DNA unseres Hauses. Exzellenz motiviert uns, die Besten unseres Gebiets zu sein, und Innovation ermöglicht unseren Fortschritt. Respekt ist das Fundament unserer Interaktionen, und Integrität leitet unser Handeln. Gemeinsam sind wir One Team, das sich mit leidenschaftlichem Engagement in den Dienst unserer Kundinnen und Kunden stellt.
Wir fördern eine inklusive und integrative Arbeitsumgebung für unsere Mitarbeitenden. Vielfalt, Gleichberechtigung und Inklusion sind fest in unserem Unternehmensleitbild ‘La Maison’ verankert und wir sind bestrebt, dass unsere Mitarbeitenden sowohl ihre beruflichen als auch ihre persönlichen Ziele verwirklichen können. Wir fördern interne Karrierewege durch individualisierte und kompetenzbasierte Trainingsangebote. Wir sind fest davon überzeugt, dass der Aufbau vielfältiger Teams zu unserem nachhaltigen Erfolg beiträgt und daher Fundament unserer Unternehmensstrategie ist.
Es ist eine tolle Gelegenheit, um Teil des Teams zu werden. Alle Bewerbungen werden streng vertraulich behandelt.
