JUNIOR COMPLIANCE OFFICER CLIENT DOCUMENTATION

Job description: Junior Compliance Officer Client Documentation

Tasks

• Handling of counterparty onboarding, client documentation, KYC and AML related matters for Leonteq Securities (Europe) GmbH;
• Handling appropriate due diligence procedures, including KYC/AML related clarifications and assessments on sensitive and complex cases (e.g. PEP and/or other high risk factors) with clarifications on client documentation requirements;
• Compliance with internal guidelines and applicable external regulatory requirements in Europe/EU; evaluation of new regulations as required;
• Interact with Sales/Relationship Officers on a daily basis; provide guidance on onboarding, KYC and client documentation issues;
• Frequent interaction with other stakeholders (within the same and other departments) to ensure alignment and effective communication;
• Preparation of internal notes/assessments on onboarding/KYC/client documentation/AML related topics;
• Identifying operational inefficiencies, recommending improvements and implementing them where appropriate;
• Participation in various projects, e.g. evaluations of new business models, input for and testing of new software tools, etc;
• Documentation and life cycle management of relationships.

Requirements

• Degree in law, compliance, finance, business administration or a related field;
• Preferably 2-3 years of experience in the financial industry in compliance, audit, consulting or a similar role, preferably in B2B onboarding;
• Knowledge of European/EU financial market laws and regulations; in particular with regard to onboarding/client documentation/KYC/AML related matters;
• Dealing with complex situations with a strong team player attitude and willingness to take responsibility, hands-on attitude;
• Excellent analytical, communication and interpersonal skills;
• Ability to think proactively and work autonomously and under pressure in a fast-paced environment, manage own goals and set priorities;
• Fluent in English; additional language skills in French and/or German or Italian;
• Experience with compliance tools (e.g. World Check One is a plus); good MS Office skills.

We offer

• Experience in the dynamics of a leading fintech company;
• Opportunity to work together with experts and learn directly from them;
• Work in modern facilities at an exceptional location;
• Hybrid working system: 3 days in the office and 2 days working from home.