Job Detail

Home / Details

Junior Compliance Officer - Investment Solutions (Lombard Odier)

Inseriert am: 02.12.2019

A career at the Lombard Odier Group is something to be proud of. Our mission is to protect and grow our clients’ wealth - but not by any means necessary. Sustainability is at the heart of everything we do and we treat our clients’ wealth as if it were our own. We protect our clients’ assets for the long-term using expertise and innovation, all underpinned by our Rethink Everything philosophy. Our colleagues are the foundation of our success. We employ people at different life stages, from graduates to executive level leaders. The one thing they all have in common is that they seek to challenge the status quo, are imaginative and have the ability to offer a fresh perspective.


YOUR MISSION:


  • Securities transactions monitoring and analysis to detect potential market abuse behaviors;

  • Monitoring of staff transactions;

  • Review and approval of marketing material and financial promotions;

  • Regulatory watch of Swiss/international financial services regulations, so as to identify those new regulations most likely to impact the Bank;

  • Advising the Investment Solutions unit on the application of financial services regulations to the bank’s activities and/or to their own personal activities (e.g., external mandates);

  • Drafting and maintenance of internal policies and procedures on financial services topics such as product distribution, market conduct rules, conflicts of interest management, best execution;

  • Creating internal e-learning on the referred financial services topics;

  • Participate in regulatory projects, identifying challenges and helping to find business-friendly solutions that are regulatory compliant.

    • DESIRED PROFILE:


  • 2-3 years’ experience in the financial services industry as a Legal or Compliance officer (or similar front-advisory role) with a focus on the securities markets, preferably in the Private Banking sector;

  • Knowledge and understanding of the financial markets, of financial instruments and of investment products ;

  • Familiar with the Swiss and European financial services regulatory framework (LSFIN/MiFID2, LPCC/UCITS, MAR, FINFRAG/EMIR, PRIIPs, AIFMD, etc.) would be a plus ;

  • Practical experience with market abuse monitoring tools would be a plus ;

  • Analytical, comfortable dealing with numbers and data, but also capable of reading and analyzing regulation ;

  • Eagerness to learn and “hands-on” approach. Trustworthy, discreet and flexible;

  • Team player who works well under pressure, with an interest in legal and regulatory matters ;

  • Fluent in both French and English, capable of expressing him/herself in either language both orally and in writing. Good command of German would be a plus ;

  • Resident in Switzerland or willing to relocate to Switzerland.

    • If you recognise yourself in this description, then please do apply. We look forward to hearing from you.

    Details



    Quick Links