Senior Compliance Officer / Head of Compliance Distribution 80-100% 80-100%
Become a part of our young and dynamic team
Leonteq Securities was initially founded in 2007 as an issuer of investment products by 4 industry experts, and as of
2012 Leonteq is listed on the SIX Swiss Exchange. We have been growing significantly along with investing heavily into
our platform which we have built from scratch to bring it to its market leading status it has today.
Senior Compliance Officer / Head of Compliance Distribution 80-100%
Your tasks & responsibilities
- Leadership responsibility for a small team
- Compliance responsible for trades and special transactions for the Financial Engineering team
- Implementation of various national and international regulatory requirements
- Drafting and implementing internal policies
- Preparation of memoranda on specific regulatory and compliance issues
- Assisting in compliance monitoring activities
- Support in compliance-specific projects on a case-by-case basis
- Review of marketing material and respective advice to business areas
- Review and implementation of legal opinions with regard to cross-border business
- Assistance throughout audit fieldwork
(preparation of files for auditors, discuss queries and findings with auditors)
- Handling product enquiries
Our requirements
- Swiss Law degree (MLaw) with at least 8 years of experience in the financial industry,
as inhouse counsel or compliance officer
- Sound knowledge of Swiss and European financial markets laws, regulations and supervisory law
- Active interest and experience in compliance themes, national and international financial markets- and financial
instruments-/derivatives regulations
- Experience in the structured products and/or OTC derivatives area
- Management experience and strong people management skills
- Dedicated, responsible and communicative personality with strong team-player attitude
- Excellent analytical and organizational skills
- Ability to take initiative and to work independently and under pressure, manage own goals and set priorities
- Fluent in English and German, further European languages are of advantage
ARE YOU INTERESTED
In supporting the build-out of our young and innovative company within a fast growing & entrepreneurial team?
If so, please click on Apply to submit your application.
No candidacy received by post will be taken into consideration.