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PWM Operations in Zurich directly supports all the PWM clients of GSBZ Bank AG (Switzerland) working closely with the local PWM Business teams based in Zurich and Geneva as well as other PWM teams globally. As part of PWM Operations in Zurich, not only will you gain the opportunity to be part of a tight-knit high performing team in Switzerland, but also play a key role in contributing to PWM Operations globally.

HOW YOU WILL FULFILL YOUR POTENTIAL

• Seize the opportunity to be a key player in the Client On-Boarding and Maintenance process for GS Bank AG in Switzerland
• Use your excellent communication skills to build strong productive relationships with PWM Business, Legal, Compliance, Technology and the Operations Division globally.  Ensuring that you develop strong working relationships with the business is essential to your success in this role
• Learn More. It is expected that you will look to expand your horizons and over time cross-train on the other functions performed by PWM Operations in Zurich
•  Your valuable experience counts.  As a high performing individual, you will be expected to share subject matter expert knowledge with others and contribute in Operations forums to educate and evaluate account opening best practices
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Main responsibilities

• Ensure adequate AML and KYC risk mitigation and adherence to Bank’s Qualitative Risk appetite on client onboardings, change in circumstances (CIC), and other reviews before Compliance review as well as the completeness of corroboration.
• Ensure continuous AML/CDB risk framework awareness, keeping WM knowledge, education and sensitivity up to date.
• Synchronize with Compliance Remediation and Onboarding as well as Client Documentation teams to ensure standards are met on onboarding, mutations (CIC) and reviews and to escalate any detected risks or operational issues.
• Review and close all normal and medium risk Transactional alerts clarified by the front office.
• Launch Evident Driven Reviews following change in Circumstances in the relationship life cycle.
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We are looking for someone who wants to become a transaction manager for capital market transactions in Switzerland to :

• work in a highly professional and collaborative position in an ever changing environment where you will be responsible for the documentation and execution of various debt and equity capital transactions for Swiss domestic and foreign companies
• provide market-technical, regulatory support and advisory services for all above-mentioned products to internal clients as well as to external clients (issuers)
• work in close cooperation with issuers, legal advisors (internal and external), regulatory boards, clearing and settlement organizations as well as origination teams
• coordinate with all parties involved in the various tasks, which might arise throughout the lifetime of debt and equity transactions

YOUR ROLE

• Optimize and roll out Key Risk Indicators on Data Protection
• Coordinate the handling of Subject Requests such as, access requests, withdrawal of consent requests, erasure requests etc.
• Roll out controls around data protection
• Maintain the personal data breach register
• Maintain the register of processing activities up-to-date

As Manager, Compliance Risk and Governance, you will report to the Compliance COO and will be responsible for:

• Supporting the Compliance COO in the establishment and management of the Unit’s governance, budgeting and organisational processes
• Establishing and maintaining solid governance for the Compliance unit in alignment with the Governance of our Bank and ensuring that Compliance has the adequate information/decision bodies.
• Overseeing the production of Compliance reports to the governing committees of the Bank and to our Regulatory bodies and act as the key point of contact for Compliance management information
• Partner with the Compliance Management team to optimize the Unit’s effectiveness, enhance communication, and identify areas of continuous improvement
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