Compliance Officer Control Room Research / Market Conduct (m/f/d)

100% | Legal / Compliance | Zürich | Experienced professionals Our Control Room team is the hub for managing compliance risks in the areas of independent financial analysis, trading, and capital markets. We are responsible for ensuring compliance with compliance requirements regarding independent financial analyses and ensuring correct market conduct. In doing so, we accompany the handling of inside information as well as reporting and disclosure obligations throughout the entire house. In close exchange with specialist departments and compliance specialists, you create transparency, minimize risks, and contribute to a fair and efficient market. Do you want to be right at the pulse of the capital market and stock exchange trading and understand and classify the interests of the various market participants? Then we look forward to your application. Your tasks • Monitoring and compliance with research compliance requirements (e.g., separation of research and trading, handling of conflicts of interest, publication processes and approvals) • Monitoring and assessing market conduct in trading and in trading communication with a view to possible rule or law violations • Checking, controlling, and documenting the handling of inside information (e.g., insider lists, information barriers, wall-crossing processes) • Analyzing and evaluating communication and transaction data (e.g., e-mails, chats, voice recordings, trading data) in the context of research and market conduct, as well as audit-proof documentation of investigations • Further developing existing and new compliance and monitoring instruments in the area of research and market conduct, including participation in parameterization • Ensuring regulatory and technical requirements in close cooperation with research, trading, IT, legal services, and other compliance employees • Following regulatory developments and market trends in the area of research and market conduct compliance, as well as deriving optimizations for processes, controls, and systems Your profile • Completed studies in the field of economics, law, (business) informatics, or comparable training with relevant professional experience • Several years of professional experience in the compliance environment of a bank or a financial institution, ideally in research compliance or market conduct monitoring • Good knowledge of handling monitoring and evaluation systems (e.g., e-communication or trading surveillance) or the willingness to acquire these quickly • Sound understanding of the relevant regulatory requirements (e.g., FINMA circulars, market conduct and conduct rules, requirements for independent financial analysis) • High affinity for IT systems and data as well as a strong understanding of compliance and control • Great interest in securities trading, in research products and their role in the capital market • You convince with analytical and networked thinking, solution-oriented and clear communication, as well as the ability to represent your position to various stakeholders • High reliability, teamwork, initiative, discretion, and integrity round off your profile • Very good German and good English skills in speaking and writing Our offer • Motivated, self-organized, and cheerful team that is looking forward to meeting you • Exciting and diverse range of tasks with many networking opportunities in the trading and capital market environment • We offer you space for your ideas and thus shape the bank of tomorrow • Diverse opportunities to develop personally and professionally • Central workplace at our headquarters on Bahnhofstrasse with good transport connections • Flexible working hours, mobile working, and compatibility of work and private life are a matter of course for us • Culture of appreciation combined with an open and honest communication style • Comprehensive package with an attractive base salary, variable compensation, and versatile benefits Your contact Fatima Malik flooks forward to helping you. Telephone: 044 292 30 24