Compliance Officer Client Documentation

About the job

Compliance Officer Client Documentation

Location

• Lisbon

Working hours

• 100%

Tasks

• Handling counterparty onboarding, client documentation, KYC and AML related matters for Leonteq Securities (Europe) GmbH;
• Handling appropriate due diligence procedures, including KYC/CAM related clarifications and assessments for sensitive and complex cases (e.g. PEP related and/or other high risk factors) Clarifications regarding client documentation requirements;
• Compliance with internal guidelines and applicable external regulatory requirements in Europe/EU. Evaluation of new regulatory requirements;
• Interact with Sales/Relationship Officers on a daily basis; provide guidance on onboarding, KYC and client documentation. Frequent interaction with other stakeholders (within the same and other departments) to ensure alignment and effective communication;
• Preparation of internal notes/assessments on onboarding/KYC/client documentation/AML related topics;
• Identifying operational inefficiencies, recommending improvements and implementing them where appropriate;
• Participation in various projects, e.g. evaluations of new business models, input for and testing of new software tools, etc;
• Documentation and life cycle management of relationships;
• Responsibility for audit and/or regulatory requests, including related field work (preparation of files, discussion of queries, findings, corrective actions, etc.).

Requirements

• Degree in law, compliance, finance, business administration or a related field;
• At least 3-5 years of experience in the financial industry in compliance, audit, consulting or a similar role, preferably in B2B onboarding;
• Strong knowledge of European/EU financial market laws and regulations; in particular with regard to onboarding/client documentation/KYC/AML related matters;
• Committed personality with strong team player attitude and willingness to take responsibility, hands-on attitude;
• Excellent analytical, organizational and communication skills;
• Ability to take initiative and work autonomously and under pressure in a fast-paced environment, manage own goals and set priorities;
• Fluent in English; additional language skills in French and/or German or Italian;
• Experience with compliance tools (e.g. World Check One is a plus), good MS Office skills.

Why you should work here

• Experience the dynamics of a leading fintech company;
• Opportunity to work together with experts and learn directly from them;
• Work in modern facilities at an exceptional location;
• Hybrid working system: 3 days in the office and 2 days working from home.