Junior Compliance Officer

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

Ensure compliance with all applicable regulatory requirements affecting the Wealth Management business as well as provide advice to Client Advisers to ensure that the firm is compliant with the relevant regulations and legislations.

• Execute compliance controls (i.e. market abuse monitoring, payment screening, sanctions screening) as part of the second line of defense, ensuring the organization adheres to regulatory requirements and internal standards.
• Support preparation of consolidating compliance reports, including subsidiaries reporting, for monthly and quarterly submissions to senior management. Support reporting obligations to FINMA and contribute to various regulatory reporting initiatives.
• Support in management of the bank’s policy and procedure framework, conducting policy reviews, coordinating feedback on Group policy updates, and drafting compliance-related policies.
• Support the Head of General Compliance team in overseeing the bank’s complaints reporting framework, including analysis of root cause and ensuring proper reporting.
• Support with reviewing gifts & entertainment requests and private mandates from employees, and in general have oversight over the conflicts of interest framework of the bank.
• Support with the development and oversee the compliance training framework, ensuring employees receive necessary regulatory and policy training to maintain high compliance standards across the organization.
• Provide support to the Head of the General Compliance Team, assisting in compliance-related projects, process enhancements, system implementations, and control optimizations.
• Lead and participate in compliance-related projects, collaborating effectively with different departments.

• Strong educational background (University degree in law or economics preferred)
• Up to 3 years' experience in compliance, risk management, risk control or audit within the Swiss financial industry
• Solid understanding of risk control and reporting techniques
• Familiarity with the wealth management environment

• Proactive and solution-oriented mindset
• Strong problem-solving and organizational skills
• Ability to manage complex and variable situations effectively
• Team player with a high level of reliability, accuracy and discretion
• Excellent communication skills in English and French or German (written and spoken)
• Comfortable working under pressure and meeting deadlines
• High standards of quality and confidentiality
• Proficient in MS Office; knowledge of Avaloq is a plus
• Rothschild & Co is committed to safeguarding and enhancing the health and wellbeing of all its employees. To support this, Rothschild & Co provides all employees with a range of healthcare services and benefits that aim to support their overall wellbeing
• We are conducive to creating a working environment and culture where people can succeed
• We provide a variety of inhouse trainings, as well as tuition assistance for further education and training courses
• Everyone can choose to incorporate agile working principles into their working week
• We have learned a great deal about the adaptability, commitment and resilience of our people. We believe there are opportunities for all of us to enhance our working lives and outcomes, by applying a more flexible approach to where and when we work and up to 40% of your work time can be performed from home

If you are curious to learn more about us and have valuable experiences in a similar role, then please submit your CV and Cover Letter through our recruitment tool.