Senior Compliance Officer

Your team / Your team

Pictet Montreal, part of the Pictet Group (a Swiss private bank) with over 50 years of expertise in securities trading—seeks to strengthen its Compliance team. The mission of the Compliance department is to prevent and detect regulatory breaches, promote ethical practices, and encourage a strong culture of compliance with all applicable regulations as well as internal guidelines. 

Pictet Montreal, part of the Pictet Group ( a Swiss private bank )  with over 50 years of expertise in securities trading—is seeking to strengthen its Compliance team. The Compliance department mission is to prevent and detect breaches of regulations, promote ethical practices, and foster a strong culture of compliance with all relevant regulations and internal directives.

Your role / Your role

The Senior Compliance Officer plays a strategic role within the Compliance Department, as a pillar of the second line of defense on all compliance matters. As a compliance expert, you will work closely with multidisciplinary teams to ensure the implementation and adherence to robust policies, frameworks, controls, and tools aligned with local regulations and group guidelines. This role is essential to ensure compliance of activities related to securities, manage complex client files, and draft clear and effective procedures, while preserving the integrity and reputation of the organization.

The Senior Compliance Officer plays a strategic role within the Compliance Department, serving as a cornerstone of the second line of defense on all compliance matters. As a compliance expert, you will work closely with multidisciplinary teams to ensure the implementation and adherence to robust policies, frameworks, controls, and tools aligned with local regulations and group guidelines. This role is essential for ensuring compliance in activities related to securities, managing complex client cases, and drafting clear and effective procedures, while safeguarding the integrity and reputation of the organization.

Your responsibilities / Your responsibilities

• Act as a key partner to the Client Registry teams by providing relevant recommendations, particularly in relation to the management of complex client files and organizational structures. / Act as a key partner to the Client Registry teams by providing relevant recommendations, particularly in relation to the management of complex client files and organizational structures.
• Review and analyze employee accounts on a monthly basis, as well as electronic communications, ensuring strict compliance with internal policies and regulatory requirements. / Review and analyze employee accounts on a monthly basis, as well as electronic communications, ensuring strict compliance with internal policies and regulatory requirements.
• Actively participate in regulatory and internal audits, investigations, and reviews by conducting in-depth research, collecting documentation, performing detailed analyses, and proposing appropriate solutions. / Actively participate in regulatory and internal audits, investigations, and reviews by conducting in-depth research, collecting documentation, performing detailed analyses, and proposing appropriate solutions.
• Develop and update compliance policies and procedures, ensuring they meet the requirements of U.S. and Canadian regulatory frameworks, as well as best practices. / Develop and update compliance policies and procedures, ensuring they meet the requirements of U.S. and Canadian regulatory frameworks, as well as best practices.
• Contribute to the reporting of high-risk matters to the relevant authorities: FINRA, FINCEN, SEC, FINTRAC, CIRO / Contribute to the reporting of high-risk matters to the relevant authorities.
• Monitor and strengthen compliance and AML programs, including conducting regular risk assessments and implementing corrective action plans. / Monitor and strengthen compliance and AML programs, including conducting regular risk assessments and implementing corrective action plans.
• Contribute to the development training programs while actively participating in  projects related to compliance and risk management.

  Your Profile / Your Profile

• Strong knowledge of U.S. and Canadian regulatory frameworks, as well as specific requirements related to complex organizational structures. /Strong knowledge of U.S. and Canadian regulatory frameworks, as well as specific requirements related to complex organizational structures. 
• Bachelor’s degree with minimum of 5 to 10 years’ experience in compliance (broker-dealer environment). /Bachelor’s degree with minimum of 5 to 10 years’ experience in compliance (broker-dealer environment).
• Obtaining, or willingness to obtain, regulatory certifications CCVM/CPH/IDSC and/or the SIE, Series 7, 24 for the USA would be a major asset. /Obtaining, or willingness to obtain, regulatory certifications CCVM/CPH/IDSC and/or the SIE, Series 7, 24 for the USA would be a major asset.
• Excellent written and verbal communication skills in both French and English (interaction with takeholders on a global scale). / Excellent written and verbal communication skills in both French and English (interaction with takeholders on a global scale).
• Ability to work collaboratively in a team, solve problems, and provide solutions in a constantly evolving environment. / Ability to work collaboratively in a team, solve problems, and provide solutions in a constantly evolving environment.

Note

We will not accept any CVs via agencies. We will not accept any CVs via agencies

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace. / Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.