Job offer
COMPLIANCE OFFICER
The job advertisement describes a position as Compliance Officer at Leonteq, a Swiss fintech company, in which the applicant will be responsible for monitoring and ensuring compliance with regulations and guidelines in the field of finance. Among other things, the Compliance Officer will monitor AML transactions, carry out customer checks, and assist in the preparation of reports and documentation.
Job description
COMPLIANCE OFFICER in Lisbon in the Legal & Compliance department (100%).About the role
We are a leading company in the financial industry, known for our innovative approaches, our commitment to excellence, and our entrepreneurial spirit. Our organizational values—passion, dedication, quality, and expertise—are our guiding stars.Tasks
- AML transaction monitoring
- Evaluation of Worldcheck hits
- Conducting client reviews for Swiss clients
- Reviewing high-risk business partners—including cases submitted by local compliance officers—and preparing for the weekly risk committee meeting
- Preparation and evaluation of new high-risk customers prior to approval by the head of FCC
- Handling KYC/due diligence requests from Leonteq's business partners
- Preparation and documentation of investigation memos and No-AML reports
- Handling of gift and entertainment requests and controls
- Review and compilation of policies and guidelines
Training and reporting
- Content creation and monitoring of compliance training
- Implementation of internal risk controls
- Reporting and monitoring (KPIs, KRIs, training performance, risk controls, reviews)
- Immediate escalation of blockages and/or significant problems
Other
- Participation in and support for internal and external audit requests
- Identifying potential risks and proposing solutions that are consistent with industry best practices
- 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 regulation, corporate development, governance, training/projects, and reviews
- Fluent English
Nice to have
- Proficiency in MS Office (especially Excel)
- Team player
Why you will work here
- Experience the dynamics of a leading fintech company
- Be part of a multicultural team/department spread across different locations.
- Work in modern facilities at an exceptional location
- Hybrid work system: home office and office
- Insight into all departments in order to understand the mechanisms of the structured investment product value chain and build up expertise
Job details
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