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Compliance Senior Advisor International Offshore (Asia)

Zurich, CH, CH-8001

Our Company

Operating in 50 cities spanning Europe, Quintet is a private bank for people who see the world differently and who seek a partner like us, committed to protecting and growing their wealth as if it were our own.
Combining agility and security, we focus on what matters most to the individuals and families we serve so they can invest in a richer life, however they define it.
Founded in 1949, headquartered in Luxembourg and operating under the supervision of the European Central Bank, Quintet serves wealthy individuals and their families, as well as a broad range of institutional and professional clients, including family offices, foundations and external asset managers.


Quintet Private Bank offers the opportunity to:
•Work in an entrepreneurial and agile environment where business leaders can take decisions and provide stellar service to clients without unnecessary bureaucracy and red tape.
•Create and build a business (with aligned cultural behaviours, diversity and inclusion) to consistently provide superior investment advice.
•Work with the best professionals, value collaboration and be part of a partnership culture.
•Excel within an enabling team environment, with a focus on partnerships to drive business success.
•Receive competitive market led remuneration structures, based on performance and behaviours.
•Thrive, in the knowledge that there are career pathways to develop both professional and personal interests.

Purpose of the Job / Objectives

The successful candidate will work as part of the Compliance function and will provide advice on compliance matters to executive management and front office management and employees in respect of their markets.
Key accountabilities
a) Advise front office management and employees, in consultation with group subject matter experts, on compliance matters pertaining to the international offshore markets (ex-Europe), such as laws, regulations, policies and procedures applicable to customer due diligence (KYC, KYT, SoW, FoF), anti-bribery and corruption, anti-money laundering, sanctions, cross-border, investor protection (suitability, products and services), market abuse, conflicts of interest, and rules of conduct
b) Analyse complex clients and transactions including coordination and communication of sensitive compliance cases to executive management
c) Cooperate with internal offices including coordination of responsibilities and tasks in connection with sensitive compliance cases
d) Participate in the development and delivery of a compliance training program for the international offshore markets (ex-Europe)
e) Perform the annual Compliance Risk Assessment for the international offshore markets, and advise on the annual compliance monitoring plan to ensure adherence to regulatory requirements and internal policies
f) Represent Compliance at governance and risk and control forums for international offshore markets

 

Required Knowledge and Experience

A University degree in law or business administration or an equivalent education
At least 10 years of working experience, acquired in a risk or compliance function
Prior experience in a business compliance coverage role with a broad experience of compliance related risks

Attributes and Qualities

Balanced approach to independent challenge and business partnering
Strong communication and analytical skills, applied to build positive relationships
Ability to work under pressure and to manage conflicts
Open-minded, flexible and reliable with the dedication to provide high quality deliverables
Positive attitude towards transformational and routine activities in the course of business

Technical Skills

MS Office Suite, Compliance search and surveillance tools

Language Skills

Fluent in English and Chinese; French an advantage; other languages an asset