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Compliance Products & Services Expert
- Type
- Full time
- Posted
- 3H AGO
About the role
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 Regulatory Compliance Officer is part of the Regulatory Competence Center (RCC), which covers the areas of Product & Services Compliance and Compliance Monitoring.The RCC oversees all regulatory matters applicable to Bank Julius Baer SA (BJBE) outside the scope of AML and CTF, specifically in the following domains:
• Wealth Management Solutions, including investor protection and the distribution of investment and insurance products (e.g., MiFID II and IDD)
• Financial Markets activities
• Internal Compliance and Governance frameworks
Compliance supports Senior Management in fulfilling regulatory requirements and upholding internal standards and policies, through identification, assessment, and mitigation of regulatory and reputational risks.
In this role, you will support the RCC by:
• Conducting compliance reviews and controls related to BJBE’s regulatory obligations
• Performing periodic and thematic assessments, including impact evaluations and gap analyses
• Providing expert regulatory advice to the business and the Bank on day-to-day operations, new products and services, and regulatory change initiatives
You will report to the Head of Regulatory Compliance, based at Bank Julius Baer Europe S.A. in Luxembourg.
YOUR CHALLENGE
Tasks & Responsibilities
- Comply with applicable BJBE standards, processes, and controls in accordance with the regulatory framework, as well as supervisory and audit requirements
- Maintain up-to-date and thorough knowledge of European regulations relevant to BJBE, industry best practices, and internal policies and procedures
- Monitor regulatory developments and proactively assess their impact on the Bank
- Conduct regulatory gap analyses and thematic reviews
- Gain exposure to key functions (e.g., Legal, Risk Management, Product Management, and Relationship Management) to understand cross-functional interfaces, the bank’s business model, and the role of Compliance as the second line of defence
- Communicate effectively and professionally with internal stakeholders across departments, local management, and other relevant parties
- Provide practical regulatory compliance advice to the business and senior management
- Participate in projects driven by new regulatory initiatives and contribute to enhancing existing compliance processes
- Perform regulatory compliance controls in line with the BJBE Compliance Control Plan, working closely with business units to ensure adherence to regulatory obligations
- Prepare regular and ad-hoc reports for BJBE Management and the Compliance Head Office on compliance activities and findings
YOUR PROFILE
· Demonstrated expertise in regulatory compliance and monitoring, with in-depth knowledge of Investment Services and Financial Markets regulations, including their practical application in a wealth management environment
· Strong analytical skills, with the ability to identify complex regulatory issues, gather and assess relevant information, derive fact-based insights, and develop well-reasoned, risk-focused recommendations
· Ability to manage complex and sensitive situations with composure; adept at communicating clearly, credibly, and professionally with stakeholders at all levels, both locally and internationally
· High degree of discretion, integrity, and sound judgment when handling sensitive or high-priority matters
· Solution-oriented mindset, supported by robust problem-solving abilities and a structured, detail-focused approach to work
· Excellent written and verbal communication skills in English; proficiency in additional European languages is an asset - French being a strong plus
· Proficiency in the Microsoft Office suite, along with demonstrated ability to leverage technology and artificial intelligence tools to improve efficiency and enhance analytical output
· Advanced university degree in Law, Business Administration, or Finance (or equivalent qualification), combined with a minimum of five years of relevant experience in Legal, Compliance, or Audit roles at a global financial institution or professional services firm (e.g., Big Four)
We are looking forward to receiving your full job application through our online application tool. Further interesting job opportunities can be found on our Career site.
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