Compliance Officer
Job description
WHO WE ARE Leonteq is a Swiss fintech company with a leading marketplace for structured investment solutions. Based on proprietary modern technology, the company offers derivative investment products and services and predominantly covers the capital protection, yield enhancement and participation product classes. Leonteq acts as both a direct issuer of its own products and as a partner to other financial institutions. Leonteq further enables life insurance companies and banks to produce capital-efficient, unit-linked pension products with guarantees. Leonteq generated turnover of CHF 23.1 billion and posted total operating income of CHF 456.4 million in 2022. As of 31 December 2022, Leonteq’s shareholders’ equity totalled CHF 870.0 million. Leonteq has an investment grade rating from the rating agencies Fitch Ratings Ltd. and Japan Credit Rating Agency, Ltd., who have evaluated and assigned ratings to Leonteq AG and Leonteq Securities AG, respectively. Leonteq is listed on the SIX Swiss Exchange (SIX: LEON) and is a securities firm regulated by the Swiss Financial Market Authority FINMA and is a member of the Swiss Structured Product Association. About the role At Leonteq, we are a leading player in the financial industry, renowned for our innovative approaches, our commitment to excellence and our entrepreneurial spirit. Our organizational values people together, passion, dedication, quality and expertise are our guiding NorthStar’s. What you'll do Responsible for the performance of all relevant activities allocated to a Money Laundering Reporting Officer and a Compliance Officer under all rules and regulations applicable on Leonteq Securities AG, Guernsey branch Acting as registered Money Laundering Reporting Officer (MLRO), Money Laundering Compliance Officer (MLCO), Compliance Officer (CO), Nominated Officer (NO) Broad Compliance Coverage Team activities, especially with regard to cross border related questions, distribution of structured products (including cross-border), other product related aspects etc. Assistance with compliance reviews and reporting duties Compilation and preparation of the necessary documentation for internal and external examinations (e.g. audits) Support in other core compliance tasks Support Group Compliance in audit related topics Compliance reviews and responsibility for local reporting duties Implementing and maintaining policies and procedures to identify, manage and track risks to which Leonteq is exposed to Communicating with senior management in relation to the risks identified in the company and advising on appropriate actions that could be taken What you'll need Law or economic degree, at least 5 years of Compliance experience in the Guernsey/UK/EU financial sector and at least 3 years in a role as Compliance Responsible/MLRO Proficient in local legal and regulatory requirements, knowledge of European requirements Active interest in capital markets and the respective regulations Dedicated and responsible personality with strong team-player attitude Ability to work independently and to take initiative Fluency in English
