Compliance officer állások, munkák

• Support in market conduct matters, including the review and analysis of alerts generated by internal systems
• Assistance in preparing reports for quarterly committees, with a focus on market conduct, FIDLEG, and cross-border activities

• Support the MSESE and MSBAG Chief Compliance Officer in the following:
• Coordination of the annual Securities Trading Act Audit (WpHG) of MSESE & MSBAG
• Liaison with the Infrastructure functions to provide advice on compliance and regulatory matters

Client: Our client is a well-established Geneva-based private bank, renowned for its high-quality wealth management services and strong values. The bank serves an international clientele and offers a collaborative, professional culture where compliance plays a key role in maintaining regulatory...

• Act as the primary point of contact for all compliance-related matters
• Ensure the company complies with all applicable laws, regulations, and internal policies
• Develop, implement, and monitor compliance frameworks and risk controls
• Liaise with regulators and manage reporting obligations

Részvétel az IT biztonsági irányítási, kockázatkezelési és megfelelőségi projektekben Gap elemzések készítése jogszabályok, nemzetközi szabványok és gyakorlatok alapján Információbiztonsági vonatkozású szabályzatok, eljárásrendek elkészítése IT üzemeltetési és fejlesztési folyamatok felmérése,...

• Prepare periodic compliance reports related to credit facilities;
• Prepare month-end credit reporting;
• Process investment capital calls and distributions, wire payment confirmation;
• Maintain Treasury System with internal and external data;

• Oversight of WpHG Compliance controls, incl. the Compliance control plan
• Compliance advisory on WpHG matters for the entities German and European operations
• The Compliance functions input for regular and ad-hoc WpHG audits
• Regulatory Change Management for WpHG related requirements

Assists Accounting and Finance Manager with monthly closings Supervision of accounts payable and receivable, billing, trade accounting, corporate cash and payroll Responsible for financial statements and general ledger May administer credit and collection activity within assigned area of...

Assists Accounting and Finance Manager with monthly closings Supervision of accounts payable and receivable, billing, trade accounting, corporate cash and payroll Responsible for financial statements and general ledger May administer credit and collection activity within assigned area of...

• Support the Auditors Independence process, in particular, perform respective checks based on the list of approved audit and non-audit services
• Perform and support routine Capital Markets Compliance tasks, such as implementation and execution of Personal Account Dealing controls.

• Conducting risk identification, measurement and assessment
• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits and inquiries

• Support the Chief Legal Officer
• Stay informed about relevant laws, regulations, and industry best practices, and particularly Swiss corporate law, to ensure the organization's compliance

• Review of client's account opening requests of private clients from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB)
• Review of tax compliance aspects, such as FATCA and CRS (automatic exchange of information)
• Contribution in drafting internal memos and procedures
• Participation in reviews of key clients

Framework: Design, enhance, and maintain a group-wide Compliance Management System (CMS), including mandatory policies aligned with FCO guidelines while enabling local adaptations....

Function as part of the second line of defense, reporting to the Deputy CISO and collaborating closely with first line teams on ICT risk and compliance topics....

• Act as a key legal advisor to the management team
• Draft, review, and negotiate a wide range of commercial agreements, including SaaS contracts, NDAs, complex partnership agreements and other licensing deals

• Act as the OEC leader within the Affiliate and support the Affiliate General Manager and Area Compliance Director in key compliance activities.
• Lead and manage an effective Affiliate Compliance Insights Forum (ACIF) for D.A.C.H, engaging Affiliate Leadership Teams and Country Leaders as needed.

• Expanding, providing regular training on, and monitoring the effectiveness of, Tillotts` compliance program
• Handling approval requests, and advice on contracts, for interactions with HcPs, HcOs and POs
• Reviewing relevant (non-) promotional material

• You provide technical support and monitoring of the assigned ships
• You ensure compliance with classification and flag state regulations as well as international safety and environmental standards (ISM, ISPS, MLC)

Proactive audit management: manage external audit engagements from planning to reporting, ensuring timely and high-quality deliverables...