Oliver James Associates Switzerland are currently supporting a Swiss Investment Bank in Zurich in their search for an experienced Trade Monitoring & Surveillance Expert.
My client is an exceptional Financial Services business operating across the globe with key offices in all global hubs. They run their Investment Bank from Zurich and Senior Compliance Officer to join their Trade Surveillance team.
- Developing, implementing and maintaining an effective Trade surveillance program and policies (trade and communication surveillance) and documentation of such program and policies
- You are responsible for the legal support of Financial Market Law
- Developing and handling the internal Trade Surveillance tool
- Presentable and comfortable in front of internal and external clients discussing sensitive/difficult topics
- Identifying, assessing and managing compliance risks arising from policies, marketing methods, booking structures
- Monitor trade surveillance alerts and escalate as necessary
- Ensuring compliance with laws, regulations, guidelines and directives, and conducting compliance training
- You help to expand the team and take on a role model function towards younger team members
Required Key Skills:
- University Degree in Economics / Law or equivalent
- Minimum 5 years professional experience
- You are ambitious, able to work under pressure, enthusiastic about performance
- You are a team player, persistent, innovative and enjoy professional challenges
- Strong background relating to market abusive behaviour and market conduct in Switzerland
- Knowledge of exchange rules of major Swiss and European Exchanges
- Fluency in English and good proficiency in German required
To learn more about this opportunity please email your CV and contact details directly to Nicky.Walsh@ojassociates.com. Alternatively, if this sounds like an interesting opportunity for somebody within your network, please get in touch to refer them.