COMPLIANCE OFFICER & MLRO LISBON

Job description

About the role

We are looking for a Compliance Officer & MLRO for our Lisbon office to support the local Branch Management as well as the European Compliance team at Leonteq Securities based in Frankfurt and Zurich.

Tasks

• As AML Officer and MLRO for Leonteq Securities (Europe) GmbH, Lisbon Branch, including reporting suspicious activities to local authorities.
• Lead the onboarding process for clients and counterparties covered by the Lisbon office (including KYC/KYCDIAML, due diligence and negotiation of distribution agreements).
• Conduct regular and ad hoc AML/CFT reviews, maintain accurate and complete records.
• Monitoring and advising on sales and distribution activities, including licensing and regulatory aspects in Portugal and the EU.
• Review marketing materials and information and provide compliance advice accordingly.
• Drafting and implementing internal policies and monitoring adherence to relevant compliance frameworks and guidelines (e.g. Clear Desk Policy).
• Keeping compliance-related registers in cooperation with Group Compliance (e.g. conflicts of interest, travel, branch office visits).
• Monitoring Portuguese regulatory developments and ensuring compliance with local policies and practices.
• Preparation and coordination of regulatory reporting to CMVM, AT and other authorities (AML, internal controls, statistics, etc.).
• Register sales employees with local authorities and support their ongoing compliance.
• Provide compliance training locally and as a recognized compliance manager for the branch.
• Advice on Portuguese compliance requirements within Leonteq group projects.
• Provide regular and ad-hoc reporting to local and Group management on compliance with Portuguese regulations.
• Supporting internal/external audit processes and representing the branch in audit-related discussions.
• Working with the European compliance team and providing support to other offices as required.
• Ensuring compliance coverage for sales and trading activities, offering pre-compliance advice on projects and initiatives across different departments.
• Monitoring retail business activities with partner companies to ensure compliance with regulatory requirements.
• Preparation of memoranda on specific regulatory/compliance topics and review and implementation of legal opinions in connection with sales activities.
• Support in handling EMEA-wide compliance in coordination with relevant stakeholders.

Requirements

• At least 8 years' experience in compliance within the financial services/audit industry.
• Extensive knowledge of EU and Portuguese financial regulations and directives.
• Experience in interacting with Portuguese EU regulators and internal and external auditors.