Compliance Assurance Officer

Wer sich für eine Karriere bei Lombard Odier entscheidet, ist für einen renommierten, globalen Vermögensverwalter und Asset Manager tätig, der sich auf nachhaltige Investitionen fokussiert. Wir sind eine unabhängige und innovative Bank erster Wahl für private und institutionelle Kunden. Unsere Gruppe ist eine der bestkapitalisierten weltweit. Wir verwalten rund CHF 300 Milliarden und sind auf vier Kontinenten von über 25 Niederlassungen aus tätig.

Mit unserer über 225-jährigen Geschichte sind wir ein Investmenthaus mit umfassendem Angebot an diskretionärer und beratender Portfolioverwaltung sowie Finanzdienstleistungen. Unsere hochmoderne Technologie-Plattform vermarkten wir auch erfolgreich an andere Finanzinstitute. Über Lombard Odier Investment Managers bieten wir Vermögensverwaltungsdienstleistungen und Anlagestrategien an.

"Rethink Everything" ist unsere Philosophie – sie steht im Zentrum unseres Handelns. Wir sind durch mehr als 40 Finanzkrisen stärker geworden, indem wir die Welt um uns herum ständig neu gedacht haben. So bieten wir unseren Kundinnen und Kunden stets neue Anlageperspektiven.

Group Compliance Assurance is a dedicated team within Lombard Odier's Compliance department. Under the leadership of the Head of Group Compliance Assurance in Switzerland, the team (based in Switzerland and Luxembourg) is responsible for implementing the consolidated compliance assurance plan of Group Compliance for the Swiss and foreign entities and offices. The scope of the team's activities is in line with the mandate of the Compliance Department and focuses primarily on risks related to financial crime (including money laundering, bribery and corruption), sanctions, external and internal fraud, conduct (including market abuse and conflicts of interest) and regulatory compliance. The team's activities are forward-looking, with a view to translating the results of risk-based assurance activities into measurable improvements in the compliance control environment.

YOUR ROLE

Based in Luxembourg and reporting to the Head of Group Compliance Assurance, you will assess (i) the design and operating effectiveness of relevant controls; (ii) compliance with applicable laws and regulations and adherence to internal policies for Lombard Odier (Europe) S.A. ("LOESA") as follows

• Contribute to the development of the Annual Compliance Assurance Plan for LOESA, including a balance of control testing, thematic reviews and branch reviews, based on the results of the prior year's compliance risk assessment and other relevant elements
• Develop the testing and review plans, including maintaining an inventory of test scripts.
• Distribute the announcement and terms of reference to relevant units or functions and other stakeholders.
• Perform and/or supervise testing and/or review activities
• Evaluate test and review results and communicate preliminary findings to stakeholders
• Document findings and their disposition as issues and actions in consultation with issue owners.
• Finalise and distribute reports to stakeholders
• Monitor the completion of issues and actions through to issue closure for management reporting.
• Prepare and report programme metrics as required
• Coordinate compliance assurance activities with other second line of defence units and Group Internal Audit
• Provide advice and guidance to the front office on actions to improve compliance in relation to the results of testing and reviews
• Propose and contribute to projects to continuously improve the control environment for compliance-related risks and other relevant cross-functional initiatives

An important part of your role will be to facilitate an open exchange on the Annual Compliance Assurance Plan with your stakeholders, including LOESA Authorised Management, local compliance functions, local managing directors, other local senior management, front office staff and Group and/or local support functions.

In accordance with Lombard Odier's professional standards, you will be expected to comply with all applicable legal, regulatory and internal compliance requirements, including but not limited to the LOESA Code of Conduct and Compliance Policies and Procedures. You will also be expected to maintain all professional certifications, as applicable, to be fully qualified to perform your role, including completing all mandatory training required to obtain and maintain such certifications.

YOUR PROFILE

Required qualifications/education

• Degree in law, economics, finance or a related field
• Additional professional certification in compliance an advantage
   

Experience/knowledge required

• Solid understanding of EU and Swiss regulatory environments
• At least 7 years of relevant experience in financial services in the public or private sector, with particular exposure to private banking
• Experience in a compliance or audit role involving control activities, including monitoring, testing and/or thematic reviews
   

Technical and interpersonal skills

• Analytical thinker with the ability to prioritise multiple tasks, work under pressure and meet tight deadlines
• Ability to synthesise complex issues, deliver practical results and make informed decisions or recommendations, including escalation where appropriate, in relation to applicable regulations and associated risks.
• Strong interpersonal, communication, presentation and influencing skills, in particular a proven ability to foster productive relationships with senior management and other control functions
• Willingness to travel from the LOESA headquarters in Luxembourg to its European branches in Belgium, France, Italy and Spain for on-site visits from time to time
   

Language skills

• English mandatory and French highly desirable; Flemish, Italian or Spanish an advantage

Fünf Werte definieren die DNA unseres Hauses. Exzellenz motiviert uns, die Besten unseres Gebiets zu sein, und Innovation ermöglicht unseren Fortschritt. Respekt ist das Fundament unserer Interaktionen, und Integrität leitet unser Handeln. Gemeinsam sind wir One Team, das sich mit leidenschaftlichem Engagement in den Dienst unserer Kundinnen und Kunden stellt.

Wir fördern eine inklusive und integrative Arbeitsumgebung für unsere Mitarbeitenden. Vielfalt, Gleichberechtigung und Inklusion sind fest in unserem Unternehmensleitbild ‘La Maison’ verankert und wir sind bestrebt, dass unsere Mitarbeitenden sowohl ihre beruflichen als auch ihre persönlichen Ziele verwirklichen können. Wir fördern interne Karrierewege durch individualisierte und kompetenzbasierte Trainingsangebote. Wir sind fest davon überzeugt, dass der Aufbau vielfältiger Teams zu unserem nachhaltigen Erfolg beiträgt und daher Fundament unserer Unternehmensstrategie ist.

Es ist eine tolle Gelegenheit, um Teil des Teams zu werden. Alle Bewerbungen werden streng vertraulich behandelt.