Business Risk Manager - Legal & Compliance Specialist

Platforms & Services (P&S) serves financial intermediaries, especially External Asset Managers (EAM) and Banks, in its Swiss home market as well as in international markets.

For our Risk & Governance team within P&S in Zurich are we looking with immediate effect for a proactive Compliance and Legal Specialist (100%).

This first line of defence role will involve working alongside other senior professionals to support predominately the EAM, but also the Banks business teams in Zurich, Geneva, Basel, and in Asia.

Our EAM teams interact with Swiss and international based EAMs, which in turn have international customers with personal accounts and complex structures. Vontobel provides these EAM’s and their clients with both custodial account services and access to our broad range of financial product offerings.

Your opportunity

  • First line support in legal and regulatory issues (inc. cross-border activities) involving the relationship between depository bank / asset manager (B2B), and depository bank / end client (B2C);

  • Support both daily business tasks (run-the-bank) and projects (change-the-bank) involving a broad range of B2B and B2C topics;

  • Mixed B2B and B2C tasks involve for example:

    • assessment of opportunities and risks in relation to future or potential and current services and business relationships;

    • Assist relationship-managers (RM) in compliance with internal and external regulatory standards by providing the business with both ad hoc and via ongoing training programs with regulatory guidance,

    • Assist in the drafting, updating and implementation of local and global policies /  procedures and other documentation, 

    • Assist in the identification of compliance risks and assessment of the adequacy and effectiveness of internal controls.

  • Specific B2B topics include amongst others the support of RM’s in the onboarding of B2B-customers and participation in the development of the relevant onboard-documents (KYI), and regulatory project work with regard to the implementation of a digital and semi-automatic B2B client onboarding tool.

  • Specific B2C topics include inter alia the participation and assistance in the analysis, identification and evaluation of risks in connection with complex assets and transaction structures.

 

You bring

  • a degree in legal, paralegal or compliance studies, business administration or finance. You should preferably have at least three years of working experience in the areas of compliance, audit or legal. Additionally, a background in the financial services industry is a plus

  • Excellent English and German skills (both written and verbal) are essential for this role, French a very strong plus

  • A general problem solving attitude, a determination to continually improve standards, strong attention to detail and a willingness to support and develop relationship managers in their day to day work is also required

Your are

  • Team player, results and solution oriented, self-directed and precise worker

  • A reliable and trusted person

  • Able to work in a standalone position with daily interactions with RM’s

 

Céline Lüssi is looking forward to receive and review your application.

Please apply via our career portal. For this position, please note that we do not consider applications from recruitment agencies.

If you have any question you can contact us through our contact form.

 

Location

Zürich / Bleicherweg 21