Head Client Lifecycle Integrity – Director – Member of Senior Management

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Head Client Lifecycle Integrity – Director – Member of Senior Management

As part of its ongoing organisational evolution, Swissquote is creating a new department, theClient Lifecycle Integrity (CLI) Department. Acting as line of defence and independent from the Front Office, the CLI brings together key activities supporting the integrity-related management of private client relationships throughout their lifecycle, from onboarding and periodic reviews to AML transaction monitoring. In this context, the Head Client Lifecycle Integrity will play a key leadership role in shaping and implementing the new organisation. As a member of Senior Management and Director, the role is responsible for defining the CLI’s strategic direction, establishing an effective and forward-looking operating model, driving a culture ofcontinuous improvement and operational excellence and ensuring the successful integration and performance of its different activities, in compliance with all applicable laws, regulations and internal policies. The Head Client Lifecycle Integrity shall in particular have a strong focus on technology enablement, AI-driven optimisation and operational scalability, with a strong client-centric and data-driven approach. The Head Client Lifecycle Integrity will act as a senior partner to the Executive Management and work closely with the Front Office, Group foreign entities, the Compliance Department as well as technology functions to continuously enhance the Bank’s integrity-related client lifecycle framework. Key responsibilities: 1. Leadership, Governance & Stakeholder Management

2. Client Onboarding, Integrity-related Lifecycle Management & AML Transaction Monitoring

• Lead the CLI, defining its strategy, organisation, governance and priorities, and establishing clear accountability across the department.
• Establish and maintain a strong, risk-based control environment, ensuring that all activities within the CLI’s remit are effective, consistent and compliant with applicable legal and regulatory requirements, internal policies and the Bank’s risk tolerance.
• Provide senior leadership and direction on complex or sensitive cases and operational matters, driving appropriate escalation and decision-making.
• Represent the CLI at Senior Management and in relevant governance bodies, and act as a strategic partner to the Executive Management, the Front Office, Group foreign entities, the Compliance Department and other key stakeholders.
• Serve as a senior point of contact for FINMA, auditors and other relevant external stakeholders within the CLI’s area of responsibility.
• Drive high standards, quality and effectiveness across the different CLI activities, supported by appropriate policies, procedures, controls, management information and risk and performance indicators.
• Ensure timely reporting of key risk and performance indicators to the Executive Management and relevant governance bodies.
• Build and develop a high-performing management team and foster a culture of strong control, collaboration and operational excellence.
• Contribute to the preparation of external and internal audits, inspections as well as regulatory reviews.
• Oversee private client onboarding (incl. with respect to prospects introduced or managed by Group foreign entities), in line with applicable legal and regulatory requirements, internal policies and the Bank’s risk tolerance.
• Oversee integrity-related lifecycle activities, including periodic and event-driven reviews, changes in circumstances, account maintenance, dormant account processes and closures, ensuring compliant and efficient execution.
• Oversee AML transaction monitoring across all client segments, ensuring effective identification, assessment and esca