To support Compliance Advisory team members in their mission, i.e. ensuring compliance of the Swiss management company and Luxembourg management company European branches with all applicable rules, particularly on distribution-related activities.
To promote a positive compliance culture within Pictet AM.
* Support the team in the implementation of the cross-border risk monitoring through an automated internal system, including:
* Create relevant courses in the Learning management system and assign credits to relevant employees
* Review and/or draft cross border country manuals based on external provider regulatory analysis and update and/or create training materials
* Contribute to the implementation of a private placement and marketing rules matrix intended for Sales
* Contribute to compliance monitoring:
* Perform compliance second level checks (e.g. marketing materials review, data vendors disclaimers update, complaints handling monitoring, impact assessment on fund factsheets based on external provider regulatory watch, social media checks, reconciliation between proxy voting and investment universe)
* Collect data and prepare relevant exports for compliance second level reviews (e.g. oversight of Swiss distributors, global cross-border assessment, USTE and Japan TE review)
* Prepare reporting such as group cross-border KPIs
* Report conclusion of controls in relevant tool
* Monitor implementation of Compliance training program
* Update training matrix
* Monitor training program progress
* Organize new joiners training
* Assign AML periodic refresher and follow up
* Provide assistance on a variety of compliance matters such as:
* Prepare summaries of regulatory news (e.g. summary of FINMA sanctions)
* Audit files preparation
* Update and improve intranet compliance section
* Review information posted on external platform for brokers
* University degree in Law (preferably), Economy or Finance.
* First professional experience in the financial industry (ideally in a management company).
* Knowledge or high interest in regulatory and compliance matters.
* Excellent oral and written communications skills.
* Expert user of the standard office IT applications (MS Office) and knowledge or interest in data automation/data analysis tools such as Python or Tableau
* Fluent in English and French.
* Must be resident in Switzerland or willing to relocate.
As the chosen applicant, you will be trustworthy, discreet and flexible. You are able to work independently in a changing environment. In addition to being a team player and working well under pressure, you have a keen interest in legal and regulatory matters and are looking to join a small team where you will be able to improve your existing knowledge and skills.
Start date: 1 January 2022
We will not accept any CVs via agencies
Diversity & Inclusion
Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace
|Posted on:||19 Nov 2021|
|Type of job:||Internship|
|Industry:||Banking / Finance|