Senior Specialist - Employee related Conflicts

Evolve the design, governance, and global implementation of the Employee Conflicts framework, ensuring alignment with evolving regulatory expectations, internal policies, and the Bank’s risk appetite. Lead the design and operation of preventive controls for employee trading, Personal Account Transactions and conflict-of-interest frameworks, with accountability to Group Compliance and regulators. Own and govern end-to-end processes including restricted lists, pre-clearance, and annual declarations, execution of controls driving consistency and audit readiness. Champion process improvements through automation and technology partnerships to increase efficiency, coverage, and risk detection. Act as escalation point for suspected breaches; lead investigations and coordinate disciplinary actions in collaboration with HR and Line Management. Advise Senior Management on conduct risks, personal trading restrictions, and mitigation measures — delivering pragmatic, principles-based guidance aligned with business realities.

For our Employee Compliance Team within Central Compliance, we are looking for a Specialist, Employee Conflicts Management to join our team. The team is responsible for the Conduct Framework, monitoring and promoting effective governance and ensuring highest standards of Compliance across our operations.

• Either a university degree in law, business, finance, or a related field or substantial professional experience in the banking sector, particularly in areas such as trading or trade surveillance

• Minimum of 5 years of relevant experience in a financial services environment, preferably within private banking or wealth management, with a solid understanding of market conduct principles and regulatory expectations

• Proven expertise in transaction monitoring and/or employee compliance, covering policy interpretation, breach assessments, investigative procedures and disciplinary recommendations

• Demonstrated interest in and contribution to the optimisation, automation and digitalisation of compliance processes – particularly in areas such as transaction monitoring, pre-clearance workflows or employee disclosure initiatives.

• Solid product and service knowledge within private banking, enabling accurate assessment of employee transactions in the context of complex instruments, investment products and advisory activities

• Proficient in Microsoft Office; experience with compliance systems, Workday, or trade surveillance platforms is an asset

• Fluent in English (written and spoken); German language skills are a distinct advantage