As Associate Director for Quality Control & Remediations, you will lead the team responsible for final quality checks on account openings and periodic reviews across New Client Onboarding and Existing Clients, ensuring operational excellence and alignment with BRM standards and strategic priorities.
Key Responsibilities
- Direct the operational and people management aspects of the Quality Control (QC) & Remediations team, fostering a high-performance culture aligned to strategic objectives.
- Oversee the second and final quality check on account opening and periodic review cases prior to finalization, ensuring consistent and rigorous application of standards across both workstreams.
- Produce qualitative and quantitative reporting on return reasons and QC trends, providing senior management with clear visibility on where and why cases are being returned.
- Identify recurring gaps or patterns from QC results and highlight areas where further training is needed, working with the relevant teams to close them.
- Own ad-hoc remediation exercises arising from audits, compliance testing, or other triggered reviews throughout the client lifecycle, ensuring these are scoped, resourced, and completed to a defined standard and timeline.
- Act as a key point of contact in audits, including participation in preparing, reviewing and presenting business responses together with management.
- Participate in strategic discussions with onboarding, periodic review, and other relevant teams, contributing a QC perspective to transformation initiatives.
- Exercise independent judgment on complex or ambiguous QC findings, determining when to escalate appropriately while making well-reasoned, timely decisions within established guidelines and guiding your team through them.
- Lead process improvement initiatives aimed at reducing return rates, simplifying procedures, strengthening first-time-right outcomes across the client lifecycle.
- Serve as a trusted partner to Institutional Sales, Compliance, and Legal, ensuring sustainable business relationships while upholding the Bank's standards.
- Actively contribute to recruitment cycle and performance management to ensure a motivated, high-performing, and accountable team.
- Coach and mentor team members, supporting their skill development and career growth.
- Minimum 5–7 years’ track record in client onboarding, KYC/AML, or compliance operations within the financial services sector.
- Previous experience in a leadership or team-lead role is a strong advantage.
- Strong knowledge of Swiss regulatory requirements (FINMA, AMLA, CDB) and onboarding / periodic review due diligence standards.
- Experience with remediation exercises, including scoping and delivering ad-hoc reviews arising from audit or compliance testing findings.
- Ability to communicate operational priorities and constraints to technical teams in charge of tooling and systems build-out.
- Experience supporting or participating in audits, preparing business responses.
- Sound risk and quality judgment, with the ability to make independent, defensible decisions on complex cases.
- Ability to prioritize and deliver on multiple tasks in a deadline-driven, high-volume environment.
- Excellent interpersonal skills, results-oriented team player.
- Excellent communication and presentation skills in English and French, German being an advantage.
“Please note that Swissquote never requests sensitive personal information or payment of any kind during the recruitment process. Any such request is fraudulent.”
SQ2