Senior Compliance Professional
A bit about the role
- Promoting Avaloq's Code of Business Conduct and Ethics in support of the Compliance Program for Avaloq.
- Performing work on compliance related topics in order to mitigate compliance risks such as Anti-Bribery and Anti-Corruption, Conflicts of Interest, Personal Trading, Compliance Due Diligence.
- Delivering Compliance Training and maintaining the Compliance Learning Management System.
- Conducts accurate and timely due diligence reviews of Business Associates to ensure that all applicable internal policies, compliance regulations and standards are adhered to.
- Conducts periodic due diligence reviews on existing Business Associates and update the profiles in accordance with internal policies' requirements.
- Maintaining Compliance registers (Gifts and Entertainment, Conflicts of Interests, Personal Trading, Export Controls, etc)
- Maintaining Compliance Group SharePoint pages and Compliance shared mailbox
- Forming strong relationships within the Compliance function and also with applicable internal stakeholders to facilitate the execution of the Compliance Program for Avaloq.
- Having good understanding of compliance laws, regulations, internal policies and directives and the Avaloq Code of Business Conduct and Ethics and acts as a point of contact to advise internal employees on compliance topics.
- Contribute and participate in new compliance related projects or processes to further enhance Avaloq's systems and processes.
A bit about you
- Bachelor's Degree, and relevant professional qualification preferred - Accounting/Business/Law/Finance Degree, Compliance/Internal Control/Auditing background is an advantage.
- At least 5-7 years of relevant experience in Compliance/Risk/Internal Control fields.
- Working knowledge of compliance functions and compliance processes. Prior experience working in Compliance functions/departments is an advantage.
- Working knowledge of World-Check / Lexis-Nexis or equivalent tools.
- Working knowledge of Compliance Training systems.
- Knowledge in Compliance Due Diligence, KYC and sanctions laws and regulations.
- Intellectual interest in Compliance topics and regulatory frameworks
- Strong business processing skills to independently handle compliance processes.
- Strong analytical skills with the ability to identify potential compliance issues.
- Strong verbal and written communication skills to confidently make a case from a compliance perspective.
- Keen eye for detail and able to independently produce high-quality deliverables.
- Open-minded and hands-on individual who adapts easily to a multi-cultural environment.
- Proficient with Microsoft Copilot, Excel and PowerPoint.
Additional information
We realize that managing work life balance is a challenge we all face in our daily lives and in order to support with this we are pleased to offer hybrid and flexible working for most of our Avaloqers to maintain work life balance and still continue our fantastic Avaloq culture in our global offices.
In Avaloq we are proud to embrace diversity and understand the success of our business is built on the power of different opinions, we are whole heartedly committed to fostering an equal opportunity environment and inclusive culture where you can be your true authentic self.
We hire, compensate and promote regardless of origin, age, gender identity, sexual orientation or any other fantastic traits that make us all unique, we have done our best to write this advert in an inclusive and neutral way.
Please be aware that we will not accept speculative CV submissions for any of our roles from recruitment agencies, and any unsolicited candidate submissions will be exempt from any payment expectations.
Benefits
- Annual bonus or sales reward
At Avaloq we work hard to remain an industry leading provider and we love to reward our colleagues with a share of that success with an annual bonus, you will even remain eligible for annual bonus while you do the hardest job of your life – taking care of your children during parental leave.
- Flexible working
We understand that fitting your life around your job can be challenging which is why in most roles we offer flexible working to allow you to thrive both in and out of work.
- Kudos instant recognition scheme
We love to see people thriving in their roles and we have an instant recognition scheme at Avaloq to help managers reward the great work our colleagues deliver with a gift to say thanks.
- Access to Udemy for professional and personal learning
We think it is important to learn and grow professionally, but if you are someone who likes to learn outside of work we give you access to online learning for both professional and personal learning, with over 210,000 courses to choose from.
About us
Founded and headquartered in Switzerland, Avaloq is continuously expanding its global footprint with around 2,500 colleagues in 12 countries, and more than 170 clients in 35 countries. We are an industry-leading provider of wealth management technology and services for financial institutions around the world, including private banks and wealth managers, investment managers, as well as retail and neo banks. Our research led approach and continual innovation is powered by the passion and creativity of our colleagues.
We are always looking for talented people to join us on our mission to orchestrate the financial ecosystem and democratize access to wealth management. Avaloq offers the opportunity to work closely with some of the world’s leading financial institutions as we jointly develop and shape careers. Championing a collaborative, supportive and flexible work environment empowers our colleagues to reach their full potential.