Team Lead Compliance/ KYC - Wealth Management (m/w/d)

Zurich, Switzerland
30 Apr 2023
15 May 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
For our client, a frontrunner in its respective industry, we are looking for a Team Lead KYC. The job holder will be responsible in ensuring compliance with external regulations as well as internal policies while actively managing operational regulatory and reputational risks with a main focus on German-speaking countries. Are you known for your strong communication and organizational skills and leading a team comes easy to you? Do you have professional experience in KYC (5+ years) preferably with a background in Wealth Management? Then this is the right position for you! English and German proficiency as well as fluency in French is mandatory.

Your Responsibilities
  • Assure the control of the processing of onboarding and recertification files for the assigned portfolio at compliance level
  • Review the client's eligibility to the banks' policies and the relevant onboarding process applicable - at the request from the business and prior to the commencement of the compliance onboarding process
  • Ensure the critical analysis of the KYC/Due Diligence documentation prepared by the 1st line of defense including review of the profile of the stakeholders, tax compliance, origin of wealth, sanctions risks, corruption risk, cross border risk, transactional activity, adverse information
  • Collaborate with other Compliance Officer cross-checking each others performance
  • Assure that relevant conditions have been defined to mitigate risks, if applicable
  • Manage a small team of Compliance Officers
  • Contribute to the training of local staff and brief first line of defense staff on compliance matters
  • Contribute to local and group-wide reportings
  • Participate in the implementation and updating of compliance procedures and participate in compliance projects initiated group-wide or locally
  • Identify, investigate and escalate serious cases of non-compliance to the Compliance Management in a timely manner

Your Profile
  • Minimum of 5 years of professional experience in KYC Wealth Management, preferably with experience/profound expertise in i.e. financial markets and financial products regulation, tax evasion prevention, banking law, regulatory banking organization, financial security
  • You're a diligent, highly organized talent and well versed in your ability to prioritize shifting workloads within a fast-changing, high-pressured industry
  • You are known for your clear and concise way of communicating and leading and motivating a team comes easily to you
  • You're a curious, driven team player with the ability to adapt easily to changing products, processes and procedures
  • Proficient English and German as well as fluent French skills are mandatory
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