Role Overview
The Regulatory Compliance Officer supports the Regulatory Compliance function in ensuring compliance with Swiss regulatory requirements applicable to Private Banking. The role provides regulatory advice and contributes to the implementation and maintenance of the Bank's compliance framework, with a focus on Market Conduct, FIDLEG/FinSA, Cross-Border activities, Outsourcing and Vendor Management, Compliance Monitoring, Training Governance and Regulatory Reporting.
Key Responsibilities
-Regulatory Advisory & Compliance Framework
• Provide regulatory advice and support to business and support functions.
• Support the development, implementation and maintenance of compliance policies, procedures and governance frameworks.
• Monitor regulatory developments and assess their impact on the Bank.
-Regulatory Compliance Activities
• Support compliance activities relating to Market Conduct, FIDLEG/FinSA, Cross-Border Compliance, Outsourcing and Vendor Management.
• Maintain relevant compliance tools, records and governance documentation.
• Perform compliance monitoring reviews and support the execution of the Compliance Monitoring Plan.
• Coordinate compliance training activities and maintain training governance processes.
-Governance & Reporting
• Prepare management information, KRIs, committee materials and regulatory reports.
• Support audits, regulatory reviews and interactions with internal and external stakeholders.
• Maintain adequate documentation and contribute to the continuous enhancement of the compliance framework and control environment.
Key Skills & Competencies
• Knowledge of Swiss banking and financial market regulations, including FIDLEG/FinSA.
• Understanding of Private Banking, Cross-Border Compliance and Outsourcing Governance requirements.
• Strong analytical, communication and stakeholder management skills.
• Ability to work independently and manage multiple priorities.
• High attention to detail and strong documentation skills.
• Fluency in English is required; additional languages are a plus.
Skills Required
- Knowledge of Swiss banking and financial market regulations including FIDLEG/FinSA
- Understanding of Private Banking, Cross-Border Compliance and Outsourcing/Vendor Management governance
- Experience supporting compliance monitoring, executing a Compliance Monitoring Plan and maintaining compliance tools/records
- Ability to prepare management information, KRIs, committee materials and regulatory reports
- Strong analytical, communication and stakeholder management skills
- High attention to detail and strong documentation skills
- Ability to work independently and manage multiple priorities
- Fluency in English
- Additional languages
What We Do
Itaú Unibanco is a global financial services firm and the largest private sector financial institution in Latin America. Headquartered in São Paulo, Brazil, Itaú is a full-service financial institution that offers a complete spectrum of financial products and services to a broad range of clients, from individuals to the most sophisticated institutional investors. Itaú has operations in 19 countries throughout the Americas, Asia, Middle East and Europe. In the United States, Itaú has offices in Miami and New York with three lines of business offering a broad range of corporate investment, asset management and private banking services. Learn more: - Private Bank (search for "Itaú Private Bank") - Asset Management (search for "Itaú Asset Management") - Corporate & Investment Bank (search for "Itaú BBA") The information contained herein is for reference/informational purposes only, and does not constitute any invitation or recommendation of investments of any kind. The information is provided “as is” and Itaú does not warrant its accuracy, completeness or adequacy, nor does it undertake any obligation to maintain it updated at all times.
