Chief Compliance Officer

Founded in 1995 by an advisor who left a large brokerage to go independent. Most staff have been with the firm for more than eight years.

Reports to the Chief Compliance Officer. This role prepares for regulatory exams and works directly with examiners. Our headquarters is in Las Palmas de Gran Canaria, and about a third of the team works remotely from other countries. You will be employed through our employer-of-record partner in Switzerland, with a local contract and salary paid in local currency. Monday to Friday, regular working hours, flexible start and finish. Communication happens mostly in Slack and short video calls.

In this role you will

• Coordinate regulatory exams and audit requests, and follow findings to closure
• Train employees on annual compliance topics and new rules
• Advise managers on regulatory questions in day-to-day operations
• Vet new products, marketing materials and disclosures before launch
• Report compliance metrics to the compliance committee and board
• Write and update compliance policies and procedures
• Monitor compliance with BSA/AML, OFAC and consumer rules such as Reg E, Reg Z and TRID

What we're looking for

• 10+ years of compliance, audit or risk experience in banking or financial services
• Sound judgment and the confidence to escalate
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)
• Familiar with AML monitoring systems such as Verafin or Abrigo
• Organised, with a careful approach to documentation

Why work with us

Rate: CHF 122,000-CHF 135,000 per year

• Flexible hours
• Health insurance through our employer-of-record partner
• Paid sick days
• Monthly internet allowance

Candidates must be eligible to work in Switzerland.

We look at every application, usually within a week.

Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Caballero Consultoría S.L..