JUNIOR COMPLIANCE OFFICER CLIENT DOCUMENTATION

Job description

About the role

At Leonteq, we are a leading player in the financial industry, informed by our innovative approaches, our commitment to excellence and our entrepreneurial spirit. Our organizational values people together, passion, dedication, quality and expertise are our guiding north star.

Tasks

• Handling of counterparty onboards, client documentation, KYC and AML-related matters for Leonteq Securities (Europe) GmbH;
• Handling of corresponding due diligence procedures, incl. KYC/AML-related clarifications and assessments in terms of sensitive and complex files (ex. PEP and/or any other higher risk factors); clarifications with regards to client documentation requirements;
• Adherence to respective internal policies and applicable external regulatory requirements in Europe/EU; Assessment of (new) new regulatory requirements where needed;
• Daily interaction with Sales/Relationship Officers; provision of guidance regarding onboarding, KYC and client documentation topics;
• Frequent interaction with further stakeholders (within the same and/or other departments) to ensure alignment and effective communication;
• Preparation of internal notes/assessments on onboarding/KYC/Client documentation/AML-related issues;
• Identification of operational inefficiencies, recommendation on improvements and implementation of such, where appropriate;
• Involvement in different projects, e.g. assessments on 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 function, preferably in B2B onboarding;
• Knowledge of European/EU financial markets laws and regulation; in particular regarding those which are of relevance in terms of Onboarding/Client Documentation/KYC/AML-related matters;
• Dealing with strong team-player attitude and willingness to take responsibility, hands-on attitude;
• Excellent analytical, communicative and social skills;
• Ability to think initiative and to 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 the dynamics of a leading fintech company;
• Possibility to work with domain experts and learn from them directly;
• Work in modern facilities at an exceptional location;
• Hybrid work system: 3 days office and 2 days home office.