Client Operations - Incident Client Advisory (ICA) Officer
Role Summary
The Incident Client Advisory (ICA) team is part of the wider Client Operations team, with a particular focus on ensuring adherence to regulatory Anti-Money Laundering (AML) and Know Your Client (KYC) requirements.
As an Incident Client Advisory (ICA) Officer in the Client Operations Team, you will be responsible for the preparation of material for Client Review Forums, AML and Reputation Risk Committees, review of alerts triggered by client screening tools, in compliance with Swiss and Local regulations.
You will be also responsible for frequent interactions with senior stakeholders (Compliance, Markets Managers, Risk Management) in support functions both locally and globally in a fast-paced environment, as well as the opportunity to work on specific projects.
Job Responsibilities
- Receive and review of escalations on existing or prospective clients and/or related parties that pose potential Anti-Money Laundering and/or Reputational risk
- Prepare material for Client Review Forums, AML and Reputation Risk Committees
- Review alerts triggered by client screening tools
- Compile data and production of Management Information Reports (MIS)
Required qualifications, capabilities and skills
- Bachelor's degree
- Experience in delivering at pace in a pressured environment to effectively meet deadlines
- Sound understanding of KYC/AML fields and deep knowledge of the different structures open within the Wealth Management industry and the documentation associated with such structures
- Legal or Compliance background with strong knowledge of Swiss Law, CDB, OBA FINMA and other regulatory topics related to companies with complex structures
- Excellent communication skills, organizational skills (attention to detail, methodical, process driven) and strong sense of accountability and ownership
- Multi-tasker who can manage multiple streams of work concurrently and prioritize effectively / Ability to work effectively in a team environment and ability to adapt to a rapidly changing business and technological environment
- Ability to deal with highly confidential information in a professional manner
- Fluency in English is mandatory
- Strong Microsoft Office skills, in particular with Word and Excel
Preferred qualifications, capabilities, and skills
- Higher degree in Finance or Law would be preferred
- Fluency in French, German, Spanish, Arabic or Portuguese would also be a strong advantage
Zürich / Switzerland / Zurich, ZH / Geneve, GE / Geneve
