Compliance Officer Control Room Research / Marktverhalten (m/w/d) — Zürcher Kantonalbank

Full description

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

100% | Legal / Compliance | Zurich | Experienced professionals

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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 compliance with the compliance requirements for independent financial analyses and ensure correct market behavior. We accompany the handling of insider information as well as the reporting and disclosure obligations throughout the house. In close exchange with specialist departments and compliance specialists, you create transparency, minimize risks and contribute to a fair and efficient market. You want to be close to the pulse of the capital market and stock market trading and understand and classify the interests of the various market participants? We look forward to your application.

Your tasks

• Monitor and comply with research compliance requirements (e.g. separation of research and trade, management of conflicts of interest, publication processes and releases)
• Monitoring and assessing market behaviour in trade and commercial communications with regard to possible violations of rules or laws
• Checking, controlling and documenting the handling of inside information (e.g. insider lists, information barriers, wall crossing processes)
• Analysis and evaluation of communication and transaction data (e.g. e-mails, chats, voice recordings, trading data) in the context of research and market behavior as well as audit-proof documentation of clarifications
• Further development of existing and new compliance and monitoring instruments in the area of research and market behavior including participation in parameterization
• Ensure regulatory and technical requirements in close cooperation with research, trade, IT, legal services and other compliance employees
• Track regulatory developments and market trends in research and market behavior compliance and derive optimizations for processes, controls and systems
• Completed studies in economics, law, (business) informatics or comparable training 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 behavior monitoring
• Good knowledge of monitoring and evaluation systems (e.g. e-communication or trade surveillance) or the willingness to acquire them quickly
• In-depth understanding of the relevant regulatory requirements (e.g. FINMA circulars, market behaviour and conduct rules, requirements for independent financial analysis)
• High affinity for IT systems and data as well as a strong understanding of compliance and control
• Great interest in securities trading, research products and their role in the capital market
• You convince with analytical and networked thinking, solution-oriented and clear communication and the ability to represent your position to different stakeholders.
• High reliability, teamwork, initiative, discretion and integrity round off your profile
• Very good German and good English skills in word and writing
• Motivated, self-organized and established team that looks forward to you
• Exciting and diverse range of tasks with many network opportunities in the trading and capital market environment
• We offer you space for your ideas and thus design the bank of tomorrow
• Various opportunities to develop personally and professionally
• Central workplace in our headquarters on Bahnhofstrasse with good transport connections
• Flexible working hours, mobile work and work-life balance are a matter of course for us
• Culture of appreciation combined with an open and honest communication style
• Comprehensive package with attractive basic salary, variable compensation and versatile benefits