Markets & Products Compliance Officer - Director

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.

The CRO division develops and oversees the global framework for risk identification, control, reporting, and management within the risk tolerance for the various business activities for Julius Baer, aiming at sustainable growth of the franchise. As a member of the CRO division, the incumbent is expected to abide by relevant principles and expectations as specified in the CRO Business Organisation Manual.

Compliance is part of the Risk, Legal and Compliance Division of Julius Baer and supports the Senior Management in ensuring compliance with external and internal regulations to actively manage operational, regulatory and reputational risks.

The role is responsible to develop and execute the Markets & Products Compliance function.

**YOUR CHALLENGE**:
**Internal Stakeholders**
- Ability to work with various stakeholders from all departments across the organization
- Willing and able to work within a fast-paced team
- Ability to build strong relationships with key stakeholders such as Senior management, business, and other infrastructure groups with a focus on the Markets and Wealth Management Solutions business
- Ability to collaborate closely with head office and other overseas offices, in particular Hong Kong

**Business Management**
- Collaborate within the CRO function and stakeholders, taking the lead for designated areas of responsibility, to manage the Bank’s compliance and regulatory risk
- The role is physically co-located with the Markets business to facilitate engagement and interaction
- First point of contact in relation to provision of regulatory and compliance advice (excluding AML/KYC) to all business lines, including but not limited to Markets, advisory solutions, discretionary portfolio management, products sales and execution teams
- Participate in new business initiatives and product due diligence process via New Product Approval working groups and provide timely and comprehensive advice from a compliance and regulatory perspective
- Responsible to implement and execute business line advisory and trade surveillance functions
- Conducting other Compliance-related control or review tasks as may be assigned from time to time. This may include investigations and/or thematic reviews
- Review, address/ approve compliance / regulatory escalations or issues that arise from Front, Markets or other stakeholders
- Review and approve marketing material and other sales documents for products offered to clients
- Involvement in, including driving where required, such other Compliance-related tasks or projects as and when necessary/delegated

**Regulatory Responsibilities &/OR Risk Management**
- Demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations

**YOUR PROFILE**:
**Personal and Social**
- Able to function independently and represent the function as a single contributor
- Excellent interpersonal and influencing skills
- Good character with integrity, attention to detail, persistent and persuasive
- Solves problems, has initiative and takes decisions
- Is vocal and will speak out
- Possesses good judgment and ability to work under pressure
- Analytical in assessing risk
- Commands respect from regulators and colleagues at all levels
- Passionate about Julius Baer’s values

**Professional and Technical**
- A Bachelor’s Degree is required with a minimum of 6-8 years’ relevant experience
- Good knowledge of the legal & regulatory environment
- Strong market and product experience from either Private Banking or Investment Banking background
- Knowledge of regulatory expectations in relation to client sales and suitability for private banking
- Experience of interacting with MAS and other regulatory authorities preferred
- Knowledge of business, processes, standards, policies and procedures in a financial/banking environment

**Regulatory (where applicable)**
- Preferably experience in similar role