Compliance Officer – Monitoring & Control Execution

Design & Assessment: Develop, evaluate, and refine effective 2LoD controls tailored to key compliance risks, ensuring alignment with regulatory expectations and business operations

Control Execution: Perform timely and accurate execution of recurring compliance controls, with a primary focus on client suitability assessments, as well as secondary coverage of pricing practices, intermediary framework, and other defined risk areas

Deficiency Management: Partner closely with Client-Facing Units to address control weaknesses via structured remediation workflows (leveraging CLM Task Manager), providing guidance and tracking resolution to closure

Reporting & Validation: Conduct thorough analysis and validation of control outputs and exception reports

Stakeholder Collaboration: Participate in regular coordination meetings with Business Relationship Managers (BRMs) to discuss findings, escalate issues, and drive accountability

Audit & Regulatory Support: Act as the central point of contact during internal audits and external supervisory reviews, representing control design and performance outcomes

Continuous Improvement: Translate operational insights into concrete recommendations for improving compliance processes, digital tools, and policy standards

Policy & Training Contribution: Contribute to the development and update of compliance policies and play an active role in designing targeted training modules for frontline staff

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together. We are seeking a highly organized and proactive Compliance Officer to strengthen our Central Compliance team in Zurich.

• Completed banking apprenticeship or university degree in Banking & Finance, Business Administration, or a related field

• Minimum of 3 years’ experience in Private Banking, ideally within Compliance, Risk Management, or a control function

• Solid understanding of client suitability rules and processes (e.g., MiFID II principles, internal CRM protocols)

• Familiarity with core private banking activities and associated conduct & operational risks

• Strong analytical capabilities with proficiency in root cause analysis and issue resolution

• Advanced user of MS Office Suite, particularly Excel (pivot tables, lookups) and PowerPoint (executive presentations)

• A collaborative team player with initiative, emotional intelligence, and strong stakeholder engagement skills

• Proven communication and interpersonal skills to deal with employees and stakeholders on different management levels

• Detail-oriented with excellent organizational abilities; capable of managing multiple deadlines in a dynamic environment

• High personal integrity, discretion, and adherence to ethical standards

• Resilient and solution-focused, thriving under pressure while maintaining precision

• Fluency in English (written and spoken); other languages are an advantage