Rothschild & Co
Rothschild & Co is one of the world's largest independent financial advisory groups. We offer a distinct perspective that makes a meaningful difference to our clients’ business and wealth.
With a team of 3,800 talented financial services specialists on the ground in 40 countries across the world, we provide independent advice on M&A, strategy and financing, as well as investment and wealth management solutions to large institutions, families, individuals and governments. As a family-controlled business that has been at the centre of the world’s financial markets for over 200 years, we can rely on an unrivalled network of specialists and are known for our track-record of outstanding execution in financial services.
Rothschild & Co Wealth Management
For over 200 years, Rothschild & Co’s freedom to offer objective advice and our commitment to personal service have combined to shape and grow our private clients’ wealth, building value for generations. Our dynamic growth and ambitious targets in relation to quality, innovation and reliability have created a need for the above mentioned role.
Overview of Role
Ensure compliance with all applicable regulatory requirements affecting the Wealth Management business as well as provide advice to Client Advisors to ensure that the firm is compliant with the relevant regulations and legislations.
- Development and maintenance of the control environment of Compliance
- Identify potential risks and design the respective controls (e.g. description of control scope and content) with regard to various businesses and processes (e.g. AML/KYC, cross-border activities, staff dealing, intermediaries)
- Performing of periodic controls or requested risk assessment within the given control environment (e.g. transaction monitoring, cross border etc.)
- Document the investigations and their results accordingly and escalate potential findings
- Initiation of remedial actions and tracking their timely resolution in collaboration with client-facing staff and business support
- The preparation of periodic reports for the attention of members of the Compliance Department, Business Management, Executive Committee and Group Legal & Compliance
- Provide ongoing compliance metrics and reports to compliance stakeholders (proficiency in Excel is a strong asset).
- Collaboration with other risk control functions and competence centers within Rothschild & Co Group to further develop an effective control framework
- Participate in various internal working groups
- Update, develop and enhance the compliance program, the internal policies and procedures
- Advising employees on compliance relevant topics and implementation of effective controls.
- Where required, customer complaints management and escalation
Education and Qualifications
- Strong educational background (Swiss law degree favourable)
- A minimum of 2 - 3 years' experience in compliance, risk management, risk control or audit in the Swiss financial industry
- Demonstrate knowledge and understanding of risk control and reporting techniques
- Understanding of the wealth management environment
Experience, Skills and Competencies Required
- Pro-active personality
- Ability to handle differing complex situations and variable problems
- Team player
- Proficient in English and French or German (written and spoken)
- Problem solving minded
- Strong organizational skills and ability to meet deadlines
- High quality standards
- Reliable and accurate and discreet attitude
- High sense of discretion and confidentiality
- Ability to work under pressure
- Good knowledge of all MS Office tools
- Ideally good knowledge of Avaloq
If you are curious to learn more about us and have valuable experiences in a similar role, then please submit your CV and Cover Letter through our recruitment tool.