Operations Analyst for Compliance

About the role:

The Compliance Analyst supports the Chief Compliance Officer, Head of Governance Framework and Head of Programme, Policy & Awareness in driving the strategic direction and operational execution of Compliance. The main focus of this role will be to support the management and operation of the compliance programme, planning and reporting processes, including the opportunity to implement Compliance's strategy and interact with a large number of Compliance members. Specific responsibilities include:

Compliance Programme
• Manage the documentation and oversight of the Compliance Programme
• Perform strategic review and assessment of the Compliance Programme, including identification and development of new or enhanced programme elements
Compliance Planning & Reporting
• Support the production of Quarterly Compliance Reports, Annual Compliance Report, Annual Compliance Plan and annual qualitative assessment of the Department. Specifically, you will be responsible for creating the timeline, maintaining input templates, communicating with input providers regarding the timeline and following-up for clarification, reviewing input and translating it to report content.
• Support production of management presentations and other ad hoc presentations in respect of Compliance Risks, Programme, compliance issues, etc. and facilitate coordination among departments as necessary.
• Support the completion of key Compliance Risk related or group Compliance questionnaires (FINMA, rating agencies, counterparties) by leveraging existing content or following-up with subject matter experts as necessary.
• Monitor and report on completion of the Annual Compliance Plan by obtaining oversight and requesting project status.
• Support the completion of the Quarterly Risk and Control Self-Assessment which includes review of Compliance's own risks and controls and assessing the effectiveness of those risks and controls. You will also be responsible for identifying and supporting the raising of issues or operational events that occur.

Compliance KPIs
• Support management of the Compliance KPI Framework (including quarterly Group Ops KPI report) including maintenance of the tools, performance of analysis, preparation of reporting and periodic reviews of the framework

Compliance Operations
• Maintain Compliance Business relationship and Compliance coverage maps with input from the Compliance Management Team
• Oversee the Compliance Department FTE planning process and monitor FTE movements to support reporting and communication activities
• Oversee the maintenance of various Compliance reporting and tracking tools used within Compliance and identify and facilitate implementation of improvements
• Support other Compliance or Legal & Compliance Divisional projects and operational tasks as necessary

About the Team
The Compliance Programme, Policies & Awareness team is part of the Compliance Governance Framework team which is a global team responsible for managing the entire Compliance Governance Framework group wide. The team has been established with the current mandate for approximately one year. Team members are located in Switzerland, US and Slovakia.

You will work closely with members of the other teams within the Compliance Governance Framework unit as well as with Client Compliance teams globally.