Stellenangebot

HEAD OF COMPLIANCE LEONTEQ SECURITIES (EUROPE) GMBH

Leonteq sucht einen Head of Compliance für die Leonteq Securities (Europe) GmbH in Frankfurt, der die Compliance-Funktion in mehreren europäischen Standorten leitet und als MLRO sowie Compliance-Officer agiert. Die Position erfordert mindestens fünf Jahre Erfahrung im deutschen Finanzsektor, fundierte Kenntnisse der EU- und deutschen Finanzregulierung sowie die Fähigkeit, ein Team in einer matrixartigen Organisation zu führen.

Ausland

Leonteq AG

80–100%

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 organisational values people together; passion, dedication, quality and expertise are our guiding north star.

WHAT YOU'LL DO

Overall responsibility for the Compliance function of Leonteq Securities (Europe) GmbH in Zurich, Sweden and Lisbon
Leadership of a team of six Compliance Officers, with a dual reporting line to the Global Head of Compliance-Headquarters in Zurich and the Management Board of Leonteq Securities (Europe) GmbH in Frankfurt
Acting as 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 European branches of the company
Providing strategic and operational support to the Global Head of Compliance and Group Chief Security Officer in relation to Compliance and risk related matters
Advising senior management and acting as a trusted advisor to the local Management Board
Ensuring compliance on regulatory, governance, and risk-related matters
Leading the execution of ongoing, risk-based Compliance monitoring activities covering all areas of the company's business activities, including sales activities, brokerage business activities, private clients/family offices, and the various portfolio management strategies of Leonteq
Providing training and/or support/support to the Sales Team of Com-Leonteq on regulatory, governance, and risk-related matters
Advising on and monitoring sales and distribution activities, leverage and other regulatory issues
Assisting in and monitoring 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 appointment as MLRO & Compliance Officer
Experience as manager in a cross-border matrix organization
Extensive knowledge and expertise in:
- German/EU Financial Crime Laws and Regulation
- German/EU Market Conduct Laws and Regulation
- German/EU Client Onboarding and Documentation Laws and Regulation
- German Securities trading act (WpHG)
- German/EU Client Protection Laws and Regulation
Interest in capital markets and financial products
Dedicated and responsible personality with strong team-player attitude
Ability to work independently and proactive attitude
Fluency in German and English