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Legal, Compliance & Tax

Senior Compliance Officer  Trade Surveillance and Control Room


At Vontobel, we are committed to actively shaping our future. We create and pursue investment opportunities that get our clients ahead. As a global financial service provider with Swiss roots, we specialize in wealth management, active asset management and investment solutions that fit.

Within our team Compliance Investment Banking in Zurich we are looking for a Senior Compliance Officer for the Trade Surveillance and Control Room.

Your Challenge:

  • Developing, implementing and maintaining an effective Trade surveillance program and policies
    (trade and communication surveillance) and documentation of such program and policies
  • Developing and handling the internal Trade Surveillance tool
  • Monitor trade surveillance alerts and escalate as necessary
  • Identifying, assessing and managing compliance risks arising from policies, marketing methods, booking structures
  • Interact with head of compliance and other team members on surveillance, monitoring and compliance initiatives 
  • Dealing with and responding to Exchanges and regulators investigations within set deadlines
  • Providing input into Compliance teams including ongoing delivery of appropriate market abuse and
    conduct trainings to staff

 

Your qualification:

  • University degree in economics / law or equivalent
  • 5+ years relevant compliance experience in trade surveillance and/or trading
  • Solid knowledge in market abusive behavior and market conduct within Switzerland and other jurisdictions
  • Solid knowledge in all asset classes (including derivatives) and their trading principals
  • Knowledge in exchange rules of the major Swiss and European exchanges
  • Fluent in written and spoken in German and English is a must, any additional languages is a plus

Contact:
Ana Piubel, Corporate Human Resources, +41 58 283 63 55

Take ownership and bring opportunities to life. Be Vontobel.
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