Group Head of Regulatory Compliance

Job Description

The Head of Regulatory Compliance Group is responsible for establishing, maintaining, and continuously enhancing the Group Regulatory Compliance framework. The role ensures that the organization complies with applicable regulatory requirements relating to investor protection, conduct risk, product governance, cross-border activities, conflicts of interest and other regulatory obligations. The position also oversees the Compliance Monitoring Programme (CMP) and promotes a strong culture of compliance across the Group.

This role can be located in Switzerland, London or Luxembourg. 

• Develop, implement, and continuously enhance the Group Regulatory Compliance framework, ensuring compliance with applicable regulations and industry best practices;
• Oversee the Group's investor protection and conduct risk framework;
• Establish and maintain an effective product governance framework covering the entire product lifecycle;
• Ensure the identification, management, and monitoring of conflicts of interest;
• Establish and monitor the Group cross-border framework, providing guidance on regulatory requirements applicable to international activities;
• Promote awareness and understanding of Regulatory Compliance requirements across the Group, ensuring that regulatory obligations and best practices are effectively embedded within business activities and decision-making processes;
• Design, implement, and oversee the Compliance Monitoring Programme (CMP), ensuring effective monitoring of regulatory risks and timely remediation of identified issues;
• Advise senior management and business stakeholders on regulatory developments and their impact on the Group's activities;
• Develop and maintain key risk indicators (KRIs) and key performance indicators (KPIs) for the Group;
• Prepare and present Regulatory Compliance reporting to senior management and governance committees;
• Coordinate with regulators, Internal Audit, External Audit, Risk Management, and other control functions on Regulatory Compliance matters;

Qualifications

• University degree in Law, Finance, Economics, Business Administration or other related discipline;
• Professional certifications in Compliance or Risk Management would be recommended;
• 7-10 years of experience in Regulatory Compliance within the banking or financial industry;
• Demonstrated experience in the development and implementation of Regulatory Compliance frameworks and governance programmes;
• Proven experience interacting with regulators, Internal Audit, External Audit, senior management, and Board-level committees;
• Strong understanding of regulatory developments and emerging compliance risks across multiple jurisdictions;
• Results-oriented mindset with a proactive and pragmatic approach to problem-solving;
• Proven ability to operate effectively in a global matrix environment and provide functional leadership across jurisdictions;
• Strong communication and presentation skills, with the ability to convey complex matters to senior executives;
• Fluent in English ; French would be a plus.

Additional Information

Step into the action!

• Family-friendly and dynamic environment;
• Direct impact on the business, no matter your position or seniority;
• Work in a dynamic environment that encourages autonomy and entrepreneurship;
• Flexible working arrangements to help you achieve a better work-life balance;
• Variety of cultural and sporting activities during your free time;
• Inclusion and equal treatment;
• Various employee benefits & family friendly benefits.