Job Description

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let\xe2\x80\x99s shape the future of wealth management together.

Compliance is part of the CRO Division of Julius Baer and supports the Senior Management in ensuring compliance with external and internal regulations to actively manage operational, regulatory and reputational risks.

The Compliance Officer, Monitoring and Surveillance is responsible for performing second line of defence (\xe2\x80\x9c2LoD\xe2\x80\x9d) monitoring and surveillance controls across the Compliance function for and on behalf of BJBS.

The role supports the Head, Monitoring and Surveillance and Head, Compliance Singapore in implementation of monitoring and surveillance controls as per Global Compliance Program. The role also supports the strengthening of first line of defence.

YOUR CHALLENGE

Core Responsibilities

• Support the Head, Monitoring and Surveillance in the management of regulatory issues, trends and emerging risks, and to ensure compliance with local regulations and adherence to internal policies
• Develop and execute 2LoD controls within the stipulated timeframe, including proper documentation and escalation of findings to senior management
• Diligently perform controls covering risk areas such as: gifts & entertainment, personal account trading, cross border / cross unit relationships, communication surveillance, best execution , pricing, and trade amendments
• Prepare management reporting of controls results
• Support the Bank\xe2\x80\x99s risk culture initiatives and HR\xe2\x80\x99s disciplinary and escalation framework
• Participate in projects and coordinate the completion of various Head Office initiatives
• Prepare and review reports for root cause analysis and systemic findings
• Contribute to Compliance training programs to employees
• Assist in validating and tracking finding closures
• Manage the disclosure request process and render prompt cooperation to regulators and law enforcement agencies for information

Risk Management

• Ensure appropriate ethical and compliant behaviour within the area of responsibility by clear demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations
• Regularly communicate with internal stakeholders to improve efficiencies and growth of the risk management culture
• Coordinate and liaise with Risk Management on updates to the risk and control frameworks

People Management

• Foster close working relationship with key stakeholders in Head Office and other locations (in particular Hong Kong) for consistent control framework and alignment of test steps/methodologies

YOUR PROFILE

Personal and Social

• A strong sense of responsibility, integrity and good judgement
• Meticulous, detail oriented and analytical
• Dynamic personality with ability to work independently and in a team environment
• Impeccable organisational skills with ability to multi-task and manage tight deadline
• Courage to speak out and comfortable to escalate risk issues
• Proactive, initiative and propose solutions for issue resolutions
• Strong ability to manage and coordinate with various stakeholders
• Excellent verbal and written communication skills with ability to produce concise and effective presentations and reports

Professional and Technical

• A degree qualified with minimum of 3 years of compliance testing/quality assurance or audit/risk management experience
• Good knowledge of the private banking / wealth management business including the regulatory environment, key risks and controls, processes, standards, policies and procedures
• Experience in interacting with senior management and auditors

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Julius Baer