Compliance

• Monitor transactions within the private bank’s AML, KYC and KYT compliance program with a focus on Brazilian clients, based on Swiss, UK and Brazilian regulations
• Perform analyses using customer screening and transaction filtering tools, with special attention to high‑risk clients
• Ensure significant findings are fully investigated and promptly escalated when necessary
• Conduct reviews and quality controls of Brazilian client profiles and coordinate additional clarification processes with the first and second lines of defense
• Prepare concise periodic management reports for senior management
• Serve as point of contact for authorities regarding investigation reports (MROS)
• Provide expert advice and deliver training
• Maintain and control Compliance documentation
• Cooperate closely with the São Paulo and London offices and with client relationship managers
• Participate in the bank’s LATAM projects and initiatives

Compliance Officer

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