Regulatory Compliance Advisor

Descripción del puesto:

A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF 300 billion and operating from over 25 offices across 4 continents.

With a history spanning over 225 years, Lombard Odier is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide advanced banking technology to other financial institutions.

"Rethink Everything" is our philosophy - it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients.

Regulatory Compliance Advisor

As Regulatory Compliance Advisor, you will play a key role in ensuring compliance with applicable laws, regulations and internal policies, while providing expert guidance on regulatory developments and risk mitigation. In this position, you will actively support the Head of the department in executing the full range of tasks and responsibilities entrusted to the compliance function. You will report to the Head of Regulatory Compliance Advisory department

It covers all the non AML related compliance risks such as MiFID, IDD, Product distribution rules, Market Abuse, SFDR, EMIR, MiFIR, etc.

YOUR ROLE:

Regulatory Change:
* Identify and ensure that all new regulations and laws impacting the bank's business are taken care of;
* For those directly impacting the Compliance activities, ensure the Bank's framework is duly adapted and if needed, perform a detailed gap analysis to identify the impacts;
* Network to benchmark if and when needed;
* Inform the RMC / Authorised Management of key compliance related changes impacting LOESA and, if needed, provide memos or notes regarding new regulatory developments.

Projects support:
* Assist Project teams in the practical implementation of regulatory driven projects by participating / checking the business requirements are adequate;
* Ensuring, when need be, that the deliveries are in line with the regulatory requirements;
* Escalate to the Chief Compliance Officer / the Authorised Management if a gap is identified.

Advice to the business:
* On a daily basis, provide support to the business for any matter falling in the scope of the Regulatory Compliance remit;
* Foster strong collaboration across the bank and business lines to promote and implement a culture of compliance throughout the organization;
* On a regular basis, provide support / send instructions to the LOESA Compliance officers or the other related departments to ensure the Compliance framework remains robust.

Specific operational tasks:
* Participate to the complaints oversight by preparing the monthly reporting to the RMC and the CSSF yearly reporting;
* Provide insights into the monthly reporting to the RMC, the quarterly reporting to the ACR and the Compliance annual reports;
* Contribute to the Compliance Risk Assessment / RCSA process;
* Participate to the various regulatory projects steering committees;
* Participate to the compliance review of new business initiatives;
* Ensure the continuous handling as well as the yearly update of the Conflicts of Interests related processes;
* Provide guidance on the content and quality of responses to Authorities requests and support during supervisory visits or external audit, as needed.

Directives & procedures:
* Ensure that internal directives and procedures are in line with regulatory standards / expectations;
* Provide the deck to the PRF when needed.

Training:
* Ensure LOESA has an adequate training & awareness framework;
* Develop and perform the training for related compliance risks (if not already delivered by the Group);
* Track the proper implementation of the annual training plan.

YOUR PROFILE:
* Understanding of the banking business, regulatory and corporate governance environment;
* 2 to 5 years of Compliance or Legal experience in order to be able to assess regulatory changes and to assist implementing necessary actions.
* Knowledge of some of the applicable laws and regulations;
* Ability to inform staff on regulatory changes impacting the bank, as well as on internal policies and procedures;
* Excellent written and verbal communication skills;
* Sense of prioritization;
* Analytical and problem-solving skills;
* Proficient with Microsoft Office Suite or similar software.
* Fluency in English and French. Italian and/or Spanish is a benefit.

Our Maison's DNA is defined by five core values. Excellence drives us to be the best at what we do, while Innovation fuels our progress. Respect underpins every interaction, and Integrity shapes our actions. Together, we are One Team, united in serving our clients with unwavering dedication.

As a responsible and supportive employer, we promote a diverse and inclusive work environment for our employees and candidates. Diversity, Equity and Inclusion are woven into the fabric of our Maison's DNA, and we strive to ensure that our employees can fulfill both their personal and professional aspirations by encouraging internal mobility and individual upskilling programs. We firmly believe that building Diverse Teams contributes to our successes and to deliver on this, we actively embed Diversity, Equity and Inclusion in our business strategy.

It is an exciting time to join our Teams. All applications will be handled in the strictest confidence