Legal and Compliance Officer - PB

Jan 11, 2019
Feb 10, 2019
Ghazi Ben Hadj
Organization Type
Contract Type
Full Time

Our client's boutique approach helped them standing out of the competition and gave them the ability to build up strong relationships with their clients. If you are looking for career progression opportunities, do not hesitate to apply to this advert, since you will be reporting directly to the Head of Legal and Compliance, and you will be a very important element of the Bank. This small Private Bank, which is offering a very unique service in the industry, is looking for an experienced Compliance Officer who can join them as soon as possible.


  • Provide advice to staff with regards to all aspects of financial crime, client due diligence and cross-border financial services regulations of target markets
  • Provide advice to the client on-boarding team regarding account opening sign-off
  • Lead the client take-on process from a regulatory perspective including risk assessment and risk mitigation measures
  • Participate in the higher risk client committee and provide advise
  • Provide and update compliance and AML risk assessments
  • Supervise and handle the AML transaction monitoring systems including payments and sanctions monitoring and client screening
  • Lead the client account review and approval process including higher risk clients and PEPs
  • Support employees training and competence with regards to financial crime and regulatory compliance
  • Keep up-to-date with knowledge and provide training of employees with regards to cross-border regulation in respect of target markets
  • Develop and handle the compliance monitoring programme
  • Analysis and implementation of new laws and regulations
  • Various compliance projects such implementation of new offerings, etc.

What we are looking for:

-Sound knowledge of Swiss AML and Financial Crime regulations
-Sound knowledge of Swiss Client Due Diligence (CDB 16)
-Good knowledge of client taxes (QI, FATCA, CRS)
-Law degree required
-Extensive experience in a compliance role (min. 3-5 years within a Swiss Bank or as an
auditor), experience in Private Banking/Wealth Management would be a plus
-Good grasp of Swiss financial services regulations
-EU regulatory knowledge
-Fluent German & English (written and spoken); French would be an asset

NonStop Finance is a niche Banking & Financial Services consultancy focused on the recruitment of mid to senior level risk, compliance, financial crime, transformation and accounting professionals in the financial centres of Europe.

Swiss-headquartered with fully licenced and staffed offices across Europe, we are renowned for professionalism, unrivaled industry knowledge and extensive candidate networks.

The service our multinational, multilingual teams provide is underpinned by an in-house Quality Assurance team, something unique in our industry.

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