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

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 regulations concerning independent financial analyses and ensuring correct market behaviour. In doing so, we oversee the handling of insider information as well as the reporting and disclosure obligations throughout the organisation. In close collaboration with specialist departments and compliance experts, you create transparency, minimise risks, and contribute to a fair and efficient market. Do you want to be at the very heart of the capital market and stock exchange trading and understand and assess the interests of various market participants? Then we look forward to receiving your application.

• Monitoring and ensuring compliance with research compliance requirements (e.g. separation of research and trading, handling conflicts of interest, publication processes and approvals)
• Monitoring and assessing market behaviour in trading and trading communication with regard to possible rule or legal violations
• Reviewing, managing, and documenting the handling of insider information (e.g. insider lists, information barriers, wall-crossing processes)
• Analysing and evaluating communication and transaction data (e.g. emails, chats, voice recordings, trading data) in the context of research and market behaviour as well as securely documenting investigations
• Developing existing and new compliance and monitoring tools in the area of research and market behaviour, including participating in parameterisation
• Ensuring regulatory and technical requirements in close cooperation with research, trading, IT, legal services, and other compliance staff
• Tracking regulatory developments and market trends in research and market behaviour compliance and deriving optimisations for processes, controls, and systems

• Completed studies in economics, law, (business) informatics, or comparable education with relevant professional experience
• Several years of professional experience in the compliance environment of a bank or financial institution, ideally in research compliance or market behaviour monitoring
• Good knowledge of monitoring and evaluation systems (e.g. e-communication or trading surveillance) or willingness to acquire these quickly
• Solid understanding of relevant regulatory requirements (e.g. FINMA circulars, market behaviour and conduct rules, requirements for independent financial analysis)
• Strong affinity for IT systems and data as well as pronounced compliance and control understanding
• Great interest in securities trading, research products, and their role in the capital market
• You convince with analytical and interconnected 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 complete your profile
• Very good German and good English skills, both written and spoken

• Motivated, self-organised, and cheerful team looking forward to welcoming 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
• Various opportunities for personal and professional development
• Central workplace at our headquarters on Bahnhofstrasse with good transport connections
• Flexible working hours, mobile working, and work-life balance are a matter of course for us
• A culture of appreciation combined with an open and honest communication style
• Comprehensive package with attractive base salary, variable remuneration, and diverse benefits