About the role
We are looking for a Compliance Officer to support the local Compliance Team located in Frankfurt am Main or Lisbon. This role requires an individual with good management skills, innovative ideas and a pro-active and solution orientated mindset. The successful candidate will collaborate closely with the local Head of Compliance, the Compliance Officer in Frankfurt, the Compliance Officers in the sub-ordinated branches and the head office in Zurich.
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.
What you'll do
- Support the Head of Compliance in developing and maintaining a robust and harmonized compliance framework across the EU, focusing on GwG, WpIG, MaRisk, MaComp and MiFID II.
- Ensure regulatory compliance with key regulations.
- Develop and maintain Compliance related Policies, Procedures and Manuals.
- Ensuring compliance with compliance processes and guidelines and execution of related risk-based controls.
- Support client on-boarding activities.
- Support regulatory required Compliance reporting to the local Management Board and the head office in line with regulatory requirements.
- Perform the assessment of the regulatory screening activities as per MaRisk.
- Perform regular risk-based monitoring activities and define risk mitigating measures.
- Act as key point of advisory for Financial Crime and Compliance aspects. This may include providing support for staff training, providing day-to-day assistance for staff, and participating in the establishment of new policies and procedures within the investment services enterprise.
- Act as key contact for internal and external auditors (in coordination with the local Head of Compliance/MLRO).
What you'll need
- Bachelor’s degree in Legal or a related field.
- Proven track record of 4+ years in Compliance/Financial Crime roles within the financial service industry/audit firms.
- Good knowledge of EU financial regulations and directives, including GwG, WpIG, BaFin AuA, MaRisk. Additional knowledge of regulation such as MiFID II, MaComp, WpHG, PRIPS, would be beneficiary.
- Experience in designing and implementing Compliance programs and Policies that adapt different regulatory requirements.
- Good communication skills and interpersonal skills, with a demonstrated ability to collaborate effectively across different regions.
- Advanced analytical and problem-solving capabilities, compared with the ability to excel a fast- pace environment.
- Experience in interacting with EU regulators and internal & external auditors.
- Fluency in German and English.
Nice to have
Additional language skills.
