Stellenangebot

COMPLIANCE OFFICER & MLRO LISBON

Die Stelle als Compliance Officer & MLRO in Lissabon bei Leonteq beinhaltet die Überwachung und Umsetzung von Compliance- und AML-Richtlinien, die Leitung von Onboarding-Prozessen für Kunden und die Zusammenarbeit mit dem europäischen Compliance-Team. Der Schwerpunkt liegt auf der Sicherstellung der Einhaltung portugiesischer und EU-regulatorischer Anforderungen.

Ausland

Leonteq AG

100%

Stellenbeschreibung

Über die Rolle

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

We have an exciting opportunity for a Compliance Officer & MLRO to Leonteq’s Lisbon Branch to support local Branch Management as well as the European Compliance Team at Leonteq Securities based in Frankfurt and Zurich.

Aufgaben

Act as AML, responsible and MLRO for Leonteq Securities (Europe) GmbH, Lisbon Branch, including suspicious activity reporting to local authorities.
Lead the onboarding process for clients and counterparties covered by the Lisbon Branch (ink. KYC/KYCDIAML, due diligence, and distribution agreement).
Conduct periodical and ad hoc AML/CFT reviews, maintain accurate and compliant records.
Monitor and advise on sales and distribution activities, including licensing and regulatory aspects across Portugal and the EU.
Review marketing and information materials and provide compliance advice accordingly.
Draft and implement internal policies, and monitor adherence to relevant Compliance frameworks and policies (e.g. clear desk policy).
Maintain compliance-related registers in collaboration with Group Compliance (e.g. conflicts, travel, branch visits).
Monitor Portuguese regulatory developments and ensure alignment with local guidelines and practices.
Prepare and coordinate regulatory reporting to CMVM, AT, and other authorities (AML, internal controls, statistics, etc.).
Register Sales with local competent authorities and support their ongoing compliance.
Provide compliance training locally and act as appointed Compliance Manager for the branch.
Advise on Product Compliance matters within Leonteq Group.
Provide regular hoc reporting to local & Group Management on compliance with Portuguese regulations.
Support internal/external audit processes and represent the branch in audit-related discussions.
Collaborate with European Compliance team and provide coverage for other branches when needed.
Ensure compliance coverage for Sales & Trading activities, offering proactive compliance advice on projects and initiatives across departments.
Monitor all Leonteq business activities with partner entities to ensure regulatory compliance.
Prepare memos on specific regulatory/compliance issues, and review and implement legal opinions related to distribution activities.
Assist in handling EMEA-wide compliance in coordination with relevant stakeholders.