Job offer
COMPLIANCE OFFICER
The Compliance Officer position at Leonteq in Lisbon involves supporting the local compliance team in developing and implementing a robust compliance framework and ensuring compliance with financial regulations. The ideal candidate will have experience in compliance roles, good knowledge of EU financial regulations and excellent communication skills.
Job description
About the role
We are looking for a Compliance Officer to join our local Compliance team in Frankfurt am Main or Lisbon. This role requires an individual with good management skills, innovative ideas and a proactive and solution-oriented attitude. The successful candidate will work closely with the local Head of Compliance, the Compliance Officers in the subordinate offices and the head office in Zurich.Tasks
- Supporting the Head of Compliance in developing and maintaining a robust and harmonized compliance framework in the EU, with a focus on GWC, WpIG, MiFID II
- Ensuring compliance with regulatory requirements
- Development and maintenance of compliance-related policies, procedures and manuals
- Ensuring adherence to compliance processes and guidelines and executing risk-based controls
- Support with customer onboarding activities
- Support in regulatory compliance reporting to local management and head office
- Carrying out assessments of regulatory screening activities in accordance with MaRisk
- Implementation of regular risk-based monitoring activities and definition of risk-minimizing measures
- Function as an important contact for financial crime and compliance aspects
- Function as an important contact for internal and external auditors
Requirements
- Bachelor's degree in law or a related field
- Proven 4+ years' experience in compliance or financial crime roles within the financial services industry or in an audit firm
- Good knowledge of EU financial regulations and directives, including GWC, WpIG, BaFin MiFID II, MaRisk
- Experience in designing and implementing compliance programs and policies that adapt to different regulatory requirements
- Good communication and interpersonal skills, with proven ability to collaborate effectively across different regions
- Advanced analytical and problem-solving skills, with the ability to excel in a fast-paced environment
- Experience in interacting with EU regulators and internal and external auditors
- Fluent in German and English
Nice to Have
- Additional language skills
We offer
No specific benefits mentioned.Job details
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