COMPLIANCE OFFICER

Job description

Position

• Title: Compliance Officer
• Location: Lisbon
• Function: Marketing
• Type of employment: 100%

Tasks

Operational / monitoring tasks:

• Transaction monitoring
• Evaluation of Worldcheck hits
• Performance review of customers for Swiss customers
• Review of higher risk counterparties - including cases submitted by local compliance officers - and preparation for the weekly Risk Committee
• Initial review and assessment of new higher risk client onboardings prior to approval by the Head of FCC
• Processing of KRI requests / Data Discipline Requests from Leonteq's counterparties
• Preparation and documentation of investigation memoranda and no-AM reports
• Processing requests and checking gifts and entertainment
• Review and compliance with policies and guidelines

Training:

• Content development and monitoring of compliance training

Reporting obligations:

• Implementation of internal risk controls
• Reporting and monitoring (KRIs, KRTs, training performance, risk controls, reviews)
• Immediate escalation of blockage points and/or material problems

Miscellaneous:

• Participation and support with internal and external audit requests
• Identifying potential risks and proposing solutions in line with industry best practice
• Improvement of existing processes
• Continuous improvement and updating of team manuals and operating procedures
• Participation in project and department meetings, compliance calls, etc.

Requirements

• University degree in law or economics
• Experience in financial crime, regulatory development, governance, training / projects and reviews
• Fluent in English

Nice to Have

• MS Office skills (especially Excel)
• Team player

We offer

• Experience the dynamics of a leading fintech company
• Be part of a multinational team / department that spans different locations
• Work in modern facilities at an exceptional location
• Hybrid working system: home office and office
• Insight into opportunities across all departments to understand and build expertise in the mechanics of the structured investment product value chain