HEAD OF COMPLIANCE, LEONTEQ SECURITIES (EUROPE) GMBH

ABOUT THE ROLE

• At Leonteq, we are a leading player in the financial industry, renowned for our innovative approach to structured investment solutions, our commitment to excellence, and our entrepreneurial spirit. Our organizational values bring people together; passion, dedication, quality, and expertise are our guiding principles.

WHAT YOU'LL DO

• Overall responsibility for the Compliance function at Leonteq Securities (Europe) GmbH in Zurich, Sweden, and Lisbon
• Leadership of a team of six compliance officers, reporting to both the Global Head of Compliance at the headquarters in Zurich and the Management Board of Leonteq Securities (Europe) GmbH in Frankfurt
• Serving as the appointed local Money Laundering Reporting Officer (MLRO), WpHG Compliance Officer, and MiFII/KYC Officer
• Responsibility for the development, maintenance, and enhancement of the local and European compliance infrastructure across all of the company's European branches
• Providing strategic and operational support to the Global Head of Compliance and Group Chief Security Officer on compliance and risk-related matters
• Advising senior management and serving as a trusted advisor to the local Management Board
• Ensuring compliance with regulations, governance, and risk-related matters
• Leading the implementation of ongoing, risk-based compliance monitoring activities covering all areas of the company's business operations, including sales activities, brokerage operations, private clients/family offices, and Leonteq's various portfolio management strategies
• Providing training and/or support to the Com-Leonteq Sales Team on regulatory, governance, and risk-related matters
• Providing advice on and monitoring sales and distribution activities, leverage, and other regulatory issues
• Assist with and monitor new sales and distribution activities; ensure compliance with regulatory documentation, codes of conduct, and relevant internal policies
• Preparing and publishing the quarterly Compliance Report in accordance with applicable regulatory and internal requirements

WHAT YOU'LL NEED

• At least 5 years of compliance experience in the German financial sector
• Previous position as MLRO and Compliance Officer
• Experience as a manager in a cross-border matrix organization
• Extensive knowledge and expertise in:
  • German/EU Financial Crime Laws and Regulations
  • German/EU Market Conduct Laws and Regulations
  • German/EU Client Onboarding and Documentation Laws and Regulations
  • German Securities Trading Act (WpHG)
  • German/EU Client Protection Laws and Regulations
• Interest in capital markets and financial products
• A dedicated and responsible individual with a strong team-oriented attitude
• Ability to work independently and a proactive attitude
• Fluency in German and English

NICE TO HAVE

• Knowledge of other European languages