- Working in collaboration with the PWM Swiss, London and European Compliance teams to deliver day to day Post- and Pre-Trade surveillance and compliance monitoring of business activity to assist observance of market conduct rules and the Swiss Financial services act.
- Review and approval of marketing materials prepared for distribution to clients/prospects; review of travel activity and assessment of cross-border situations
- Monitoring of record keeping requirements / approvals, creation or update of procedures
- Support internal and external audit preparation work
- Forensic reviews and internal investigations by the more senior compliance officers.
- Swiss University degree/diploma or certification in either law or compliance (Bachelor or Master).
- Professional compliance / financial services experience would be a plus, but is not a must – training will be provided on the job by the team
- Native German and oral skills in English
- Excellent attention to detail
- Proficient in MS office tools including strong knowledge of Excel
- Knowledge of or interest in products and trading strategies used in Private Wealth Management, e.g. structured products, alternative investments, derivative is advantageous
-
Compliance, PWM Compliance, Analyst, Zurich
vor 3 Tagen
Goldman Sachs Zürich, SchweizOUR IMPACT · The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and hig ...
-
Investment Compliance Analyst
vor 1 Woche
State Street Zurich, Schweiz OTHERMajor responsibilities: · Analysis and interpretation of fund contracts and investment guidelines · Implementation of new products, fund regulations &investment guidelines within the investment compliance application · Lead/help within the internal project for change to new stra ...
-
Senior Compliance Analyst
vor 3 Tagen
Company 81 - Manulife Data Services Inc. Zürich, Schweiz GanztagsDescription · : upport and implement the annual testing plan approved and providing feasible solutions to address issues identified or recommendations to improve the business process and setting up best practices. · Key Responsibilities: · Kick-off, preparation of detailed test ...
-
Senior Analyst, Regulatory Compliance
vor 3 Tagen
Company 81 - Manulife Data Services Inc. Zürich, Schweiz GanztagsDescription · : egularly update and report to Senior Counsel and Compliance Officer. · Job Summary: · This position is responsible for supporting the Singapore Regulatory Compliance team in its oversight of the Regulatory Compliance Management Program, ensuring that effective r ...
-
Application Manager/in Compliance
vor 1 Woche
Kidston People GmbH Zurich, Schweiz**Details about the company recruiting**: · **Description**: · Unser Kunde ist eine renommierte, internationale Bank mit Niederlassungen in der ganzen Schweiz. · **Line of Business**: · Banking/Financial institutions · **Details about the job**: · **Duties**: · - Sicherstellung u ...
-
Career Start Junior Audit
vor 2 Tagen
Mazars Zurich, Schweiz(100%) · Über diese Stelle · Du möchtest bei einer schnell wachsenden Prüf · - und Beratungsgesellschaft deine Karriere starten? Dann werde Teil unserer Erfolgsgeschichte und gestalte die Zukunft von Mazars mit. · Wir bieten dir die Möglichkeit, deine Karriere als Junior Audit & ...
-
Career Start Junior Audit
vor 3 Tagen
Mazars Zurich, SchweizDeine Aufgabe · Als Junior Audit & Assurance im Bereich Banking & Asset Management in unseren Büros Bern oder Zürich bist du für folgende vielseitigen Aufgaben zuständig: · - Durchführung von Rechnungs · - und Aufsichtsprüfungen von nationalen und internationalen Banken & Asset M ...
-
Career Start Junior Audit
vor 1 Tag
Mazars Zurich, SchweizDeine Aufgabe · Als Junior Audit & Assurance im Bereich Banking & Asset Management in Zürich bist Du für folgende vielseitigen Aufgaben zuständig: · - Durchführung von Rechnungs · - und Aufsichtsprüfungen von nationalen und internationalen Banken & Asset Manager (OR, IFRS, Swiss ...
-
Compliance Manager
vor 1 Woche
Credit Suisse Zurich, Schweiz**Your field of responsibility** · Join us as a Compliance Manager within Market Conduct Surveillance, an integrated conduct surveillance team specialized in detecting and preventing market abuse, unauthorized trading, fraud, unacceptable conflicts of interest and breach of infor ...
-
Praktikum Audit
vor 2 Tagen
Mazars Zurich, SchweizDeine Aufgabe · Als Praktikant/in Audit & Assurance im Bereich Financial Services in Zürich erwarten dich folgende Aufgaben: · - Du unterstützt Dein Team bei der Durchführung von Rechnungs · - und Aufsichtsprüfungen von nationalen und internationalen Versicherungsunternehmen, Ban ...
-
Junior Audit
vor 1 Tag
Mazars Zurich, SchweizDeine Aufgabe · Als Junior Audit & Assurance im Bereich Financial Services in Zürich bist Du für folgende Aufgaben zuständig: · - Du hilfst bei der Durchführung von Rechnungs · - und Aufsichtsprüfungen von nationalen und internationalen Versicherungsunternehmen, Banken und Vermög ...
-
Praktikum Audit
vor 3 Tagen
Mazars Zurich, Schweiz(100%) · Über diese Stelle · Du möchtest bei einer schnell wachsenden Prüf · - und Beratungsgesellschaft deine Karriere starten? Dann werde Teil unserer Erfolgsgeschichte und gestalte die Zukunft von Mazars mit. · Wir bieten dir die Möglichkeit, deine Karriere als Praktikant/in A ...
-
Praktikum Audit
vor 3 Tagen
Mazars Zurich, SchweizDeine Aufgabe · Als Praktikant/in Audit & Assurance im Bereich Financial Services in Zürich erwarten dich folgende Aufgaben: · - Du unterstützt dein Team bei der Durchführung von Rechnungs · - und Aufsichtsprüfungen von nationalen und internationalen Versicherungsunternehmen, Ban ...
-
Junior Audit
vor 3 Tagen
Mazars Zurich, Schweiz(100%) · Über diese Stelle · Du möchtest bei einer schnell wachsenden Prüf · - und Beratungsgesellschaft deine Karriere starten? Dann werde Teil unserer Erfolgsgeschichte und gestalte die Zukunft von Mazars mit. · Wir bieten dir die Möglichkeit, deine Karriere als Junior Audit & ...
-
Director of Investor Relations
vor 1 Woche
Barry Callebaut Zurich, SchweizDirector of Investor Relations · **Location**:Zurich, ZH, CH, 8005At Barry Callebaut, we are on a journey to transform the cocoa and chocolate industry. As the world's leading manufacturer of high-quality chocolate and cocoa products, our actions truly shape the future of our ind ...
-
Product Manager
vor 1 Woche
UBS Zurich, SchweizSwitzerland - Zürich · - Information Technology (IT), Operations · - Group Functions · **Job Reference #** · BR · **City** · - Zürich · **Job Type** · - Full Time · **Your role** · - We're looking for someone like that to: · - advise and support to business divisions and Group Fu ...
-
Forensic Consultant in Investigations
vor 1 Woche
EY Zurich, SchweizAt EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better, too. Join us and build ...
-
Forensic Consultant
vor 1 Woche
EY Zurich, SchweizAt EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better, too. Join us and build ...
-
Forensics Working Student
vor 3 Tagen
EY Zurich, Schweiz NebenberuflichAt EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better, too. Join us and build ...
-
Treasury Sales
vor 9 Stunden
Bank of America Zurich, Schweiz**Job Title**: Treasury Sales · **Title**:Analyst/Associate · **Location**:Zurich · **Company Overview**: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our compan ...
Compliance Division, PWM Compliance, Analyst, Zurich - Zurich, Zurich, Switzerland, Schweiz - Goldman Sachs Bank AG
Beschreibung
OUR IMPACT
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Zurich and Geneva, Tokyo, Hong Kong and other major financial centers around the world. Global Compliance interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
PWM Compliance is a unit within Global Compliance that services the Wealth Management area. The role of Compliance is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, help to reduce the firm's regulatory and reputation risk, and reinforce the firm's culture of compliance. PWM Compliance provides training of rules and regulations and on-going day to day support and advice to the Swiss Wealth Management Business.
YOUR IMPACT
We're looking for a professional or recent graduate to join our Private Wealth Management (PWM) Compliance team in Zurich, who wants to use their drive, enthusiasm and abilities to provide compliance advisory and compliance surveillance to our PWM business.
Across Wealth Management, Goldman Sachs helps empower clients and customers around the world to reach their financial goals. Our advisor-led Private Wealth Management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments.
Responsibilities:
Basic Skills:
