Compliance Operating Head - Vice-Director H/F Swissquote
Gland - 02 CDI- Télétravail occasionnel
- Bac +5
- Banque • Assurance • Finance
Détail du poste
The Compliance Operating Head is responsible for overseeing the day-to-day (Business-as-Usual, BAU) activities of the Compliance Department. This role supports the Group Head of Compliance by ensuring that routine compliance operations and processes are executed efficiently, consistently, and in alignment with regulatory expectations. The ideal candidate will BE highly autonomous, solution-oriented, and possess strong, hands-on experience in compliance operations, with the ability to analyze complex cases and exercise sound judgment in decision-making.
Key Responsibilities :
- BAU Oversight :
- Oversee compliance operations, including onboarding and monitoring.
- Process Management :
- Ensure smooth execution and continuous improvement of compliance workflows and controls.
- Tracking :
- Track the completion and quality of compliance deliverables,
- Escalate issues as needed.
- Documentation & Reporting :
- Organize accurate records of compliance activities,
- Support the preparation of internal reports.
- Case Analysis & Decision Support :
- Analyze complex compliance-related cases,
- Provide well-funded recommendations or decisions in coordination with the Group Head of Compliance.
- Internal Memo review :
- Review internal compliance-related memos for clarity, consistency, and alignment with policy and regulatory standards before distribution.
- Team Support :
- Provide support to the compliance managers and officers to facilitate effective BAU execution.
- Issue Escalation :
- Identify and escalate emerging risks, delays, or process inefficiencies to the Group Head of Compliance.
Le profil recherché
- Master's degree required, preferably in Law or Economics or equivalent.
- Minimum 10 years of strong, hands-on experience in compliance operations or regulatory roles.
- Proven ability to work autonomously, analyze complex issues, and make sound decisions under time pressure.
- Solid understanding of laws and regulations, compliance frameworks, and operational processes.
- CAS Compliance in Financial Services is a strong plus.
- Experience in managing and improving compliance procedures within complex organizations.
Key Competencies :
- Solution-oriented and proactive mindset.
- Strong analytical skills with a decision-making spirit.
- Excellent organizational and execution abilities.
- Detail-oriented and process-focused.
- Effective interpersonal and communication skills.
- High integrity, professionalism, and discretion.
- Strong collaboration and coordination abilities.
- Gland - 02
- CDI
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