Senior Compliance Assurance Officer (80-100%)

Senior Compliance Assurance Officer (80-100%)

Group Compliance Assurance is a dedicated team within Lombard Odier's Compliance department. The team based in Switzerland is responsible for implementing the Group Compliance Assurance Plan for our Swiss and foreign entities. The scope of the team's activities is in line with the mandate of the Compliance Department, focuses primarily on risks related to financial crime / sanctions and materially contributes to our Compliance Consolidated Supervision framework. The team's activities embed a forward-looking approach, with a view to translate the results of risk-based assurance activities into measurable improvements in the Compliance control environment.

YOUR ROLE

Based in Geneva and reporting to the Head of Group Compliance Assurance, you will assess (i) the design and operating effectiveness of relevant controls; (ii) compliance with applicable laws and regulations and adherence to our Compliance standards and internal policies for the Group Lombard Odier as follows:

• Develop the testing and review plans, including maintaining an inventory of test scripts.
• Perform and/or supervise testing and/or review activities
• Evaluate test and review results and communicate preliminary findings to stakeholders
• Document findings and their disposition as issues and actions in consultation with issue owners.
• Finalise and distribute reports to stakeholders.
• Monitor the completion of issues and actions through to issue closure for management reporting.
• Prepare and report progress status metrics as required
• Coordinate compliance assurance activities with other second line of defence units and Group Internal Audit
• Provide advice and guidance to the front office on actions to improve compliance in relation to the results of testing and reviews
• Propose and contribute to projects to continuously improve the control environment for compliance-related risks and other relevant cross-functional initiatives
• In accordance with Lombard Odier's professional standards, you will be expected to comply with all applicable legal, regulatory and internal compliance requirements, including but not limited to the Group Code of Conduct and Compliance Policies and Procedures. You will also be expected to maintain all professional certifications, as applicable, to be fully qualified to perform your role, including completing all mandatory training required to obtain and maintain such certifications.

YOUR PROFILE

Required qualifications/education

• Degree in law, economics, finance or a related field
• Additional professional certification in compliance an advantage

Experience/knowledge required

• Solid understanding of regulatory environments, particularly of the Swiss framework and the organization of consolidated supervision
• At least 10 years of relevant experience in financial services in the public or private sector, with particular exposure to private banking
• Experience in a compliance or audit role involving control activities, including monitoring, testing and/or thematic reviews

Technical and interpersonal skills

• Analytical thinker with the ability to prioritise multiple tasks, work under pressure and meet tight deadlines
• Ability to synthesise complex issues, deliver practical results and make informed decisions or recommendations, including escalation where appropriate, in relation to applicable regulations and associated risks.
• Strong interpersonal, communication, presentation and influencing skills, in particular a proven ability to foster productive relationships with senior management and other control functions
• Availability to travel to perform on-site visits in Lombard Odier's international offices in the Americas, Middle East, Europe and Asia from time to time

Language skills

• English mandatory and French highly desirable

Residency

• Resident in Switzerland or willing to relocate to Switzerland.