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Compliance Monitoring & Testing Manager

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

This role covers the bank’s Swiss domestic and international offshore wealth management businesses. You will undertake a range of activities to prevent, detect and report compliance risks in these businesses, and to advise on corrective actions. You will have the skill and experience to integrate the organisation quickly and to have an impact on the compliant growth of the businesses. You will:

  • Perform monitoring & and testing activities independently and with team members, including desk and/or thematic reviews, periodic monitoring and key controls testing
  • Create reports of completed reviews, monitoring and testing activities
  • Update stakeholders on the progress of activities and findings with reports, meetings and presentations; and escalate significant findings to senior management
  • Track and follow up on recommendations and actions
  • Complete regular and ad-hoc tasks necessary to run the function’s risk-based monitoring and testing program
  • Propose and implement changes to standard reviews, testing, monitoring and surveillance as applicable to your tasks and activities
  • Participate in the annual compliance risk assessment and the development of the annual risk-based compliance monitoring and testing plan
  • Contribute to the work of the Compliance department in any other ways reasonably expected, including participating in projects and working groups and assisting with other priorities in the department or group as a whole
Required Knowledge and Experience
  • Strong knowledge and experience of audit or testing methodology
  • Ability to scope reviews, create test scripts and complete reviews on time and of excellent quality
  • Generalist compliance and regulatory knowledge, preferably gained working within a central compliance function
  • At least 5-7 professional experience working within financial services or public accounting or consultancy services
  • University degree in business, economics, accounting, finance, and/or law
Attributes and Qualities
  • Effective planning and organisation skills, with ability to manage a broad range of activities with sustained momentum and timely delivery
  • Collaborative and supportive team player, with strong work ethic and critical thinking
  • Problem solving, analysis and reporting skills
  • Excellent verbal and written communication and interpersonal skills
Technical Skills
  • Advanced level of Excel, PowerPoint skills
  • Additional education in computer sciences and information technology
Language Skills

English (fluent), German (fluent), French (advanced/intermediate)