Business Ethics Officer

2 weeks ago

London, United Kingdom PICTET Full time

**Your team**:

- The Pictet Group is one of the world’s leading independent wealth and as-set managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 27 offices in financial centres worldwide, currently employing over 4300 people. Pictet has been present in London since 1980, and employs near 400 people.- Pictet Asset Management manages the assets of some of the world’s largest institutions, financial intermediaries and their clients. Our culture welcomes independent thinkers and centres around investment excellence, a long-term perspective and a dedication to client service.- The Investment Controlling Department is in charge of L1 controls around AML/KYC, Investment Guidelines Controlling and Business Ethics. As part of the Business Ethics team, you will be a key part of the continual development of a positive ethics culture through communication and monitoring ethics rules at all business levels.**Your role**:

- Undertake daily Market Abuse monitoring:

- Analyze an investigate market abuse alerts by reviewing the contents of the alert, carrying out appropriate investigations and reaching sensible and well-documented conclusions.
- Deliver timely and efficient analysis by ensuring alerts are correctly prioritized and managed efficiently.
- Contribute to the definition of the team’s appropriate risk based approach as well as to the overall team’s effectiveness e.g. reducing the number of alerts escalated.
- Drive to the continuous improvement of processes and tools by identifying and measuring process inefficiencies or tool deficiencies, escalating these so that proposed changes can be assessed and sharing best practice.
- Bloomberg vault monitoring.
- Perform other trade surveillance checks: monitoring of Non Prorata Allocation, Cross Trades, IPOs.
- Ensure adherence to the PAM Code of Ethics, and in particular accurately maintain the Personal Account Dealing process:

- Administer the company's third-party technology solution to monitor personal trade and other Code of Ethics surveillance.
- Investigate violations of the company's policies to completion.
- Develop relationships with employees and management to advise on and encourage adherence to the Code of Ethics.
- Ensure adherence to the gifts and entertainment rules.
- Developing and improving the Business Ethics tools and systems.
- Develop and maintain excellent working relationships with PAM’s Compliance departments, who will provide Subject Matter Expert support.
- Provide appropriate management information reporting including quarterly KRI reporting for the monthly Business Risk & Compliance Committee.

**Your profile**:

- Educated to undergraduate degree level with a relevant professional qualification preferred.
- Minimum of approximately five years’ experience in a similar function within an asset manager, broking or investment banking firm or financial services experience in an accountancy / consultancy firm.
- A compliance monitoring or audit background is essential.
- Sound knowledge of Market Abuse and Ethics rules in the finance sector.
- Expert user of regulatory compliance and trade monitoring software (MAST or similar tool).
- Capable user of MS Office.
- Strong written and verbal communication skills will support your strong report writing ability and allow you to communicate with all levels of the organization.
- Collaborative in your approach, you will relish being part of a small, open, and communicative team whilst taking ownership of, and managing, your own work to a high standard.

**Note**:

- We will not accept any CVs via agencies**Diversity & Inclusion**:
**_ Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace._

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