Director/Vice President, Senior Compliance Officer, Emerging Markets Investment Bank, Zug

Mandate Status: 
Active
Mandate Code: 
VCZ003/9/5
- One of our clients, an Emerging Markets Investment Bank is looking to add a Senior Compliance Officer to their office in Zug
- The successful candidate will have between 7 – 12 years' of experience from an Investment Bank, with an AML background

Requirements: 

  • Experience in providing regulatory compliance and AML for securities
  • Knowledge of Emerging Market geographies, more specifically Russia & CIS
  • Excellent oral and written communication skills, any additional language to English would be advantageous
  • Strong research, analytical ability, logical thinking and comprehension skills, with ability to analyze and summarize data
  • Bachelor’s Degree in Law, Business Administration or related field

Responsibilities: 

  • Supporting the AML and Sanctions Compliance function by assisting in the development, implementation and monitoring of compliance programs associated with new initiatives
  • Performing and assisting KYC On-boarding and AML sanctions related investigations and monitoring
  • Work closely with Central Compliance functions in accordance with the global compliance mandate and in line with respective local regulatory requirements
  • Monitor activities to ensure adherence to legal and regulatory requirements as well as internal policies and procedures
  • Perform analysis on transactions to identify unusual activity and conducting research/investigation to form recommendations on degree of suspicion in accordance to firm's global investigations standards
  • Identify regulatory or reputational risks and escalate as appropriate
  • Identify opportunities for improvement and drive the implementation of initiatives and operational process changes with a focus on innovation

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