Compliance Assurance Specialist

Description du poste:

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.

Compliance Assurance Specialist

YOUR ROLE:
* Participation to the development and maintenance of the Compliance Risk Assessment (CRA) ie participate to the refresh and yearly communication of the outcome, feed the continuous updates as reviews are being produced (BRM, IA, PWC, Authorities, Compliance, IRS etc.)t

* Participation to the development of a risk-based Compliance Monitoring Program (CMP) covering the activities of Lombard Odier (Europe) S.A. (LOESA) and branches
* Quality execution and timely delivery of the CMP :
> by conducting monitoring and testing activities including conducting interviews with all levels of staff to assess knowledge of procedures and levels of Compliance
> by ensuring methodology is meeting Group requirements, if any

* Timely delivery of monitoring & testing reports: write up review findings, make recommendations, discuss the observations and actions with the auditees / management and assign remedial actions in light of identified deficiencies

* Participation to the awareness of regulatory/compliance developments across all LOESA jurisdictions and to the assessment of the likely impact to the business

* Participation to the promotion of best practices and of the highest ethical standards required of staff to ensure staff meet the requirements of the Compliance Manual, relevant regulations and Group Standards

* Escalation of any material compliance/regulatory concerns or issues to the Chief Compliance Officer / Compliance Assurance Manager

* Participate to any activity conducted within the Compliance Assurance department, under request of the Compliance Assurance Manager

YOUR PROFILE:
* Degree level education preferred. Accounting or Auditing background an advantage
* Good experience and knowledge of Compliance, compliance monitoring / auditing in a European wealth management environment.
* Excellent interpersonal skills, an ability to communicate well verbally and orally at all levels
* High level of personal drive and an ability to work autonomously with minimal direct supervision.
* Able to achieve activities in a timely manner, to cover activities on a risk-based approach, in line with expectations of the line of command.
* Persistent and inquisitive, not easily deflected but able to balance findings and actions and reach agreements with stakeholders.
* Open to travel within Europe
* Advanced Excel skills an advantage
* English and French compulsory.
* Flemish, Italian or Spanish an advantage.

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