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REGULATORY COMPLIANCE OFFICER

SWISSQUOTE

Location:

Position:

Salary:

Posted/Updated:

Swissquote HQLI.png

REGULATORY COMPLIANCE OFFICER, SWISSQUOTE

About the Role

Company Description

Join Swissquote Financial Services and take part in a leader in the provision of depository, custody and trading services in Malta.

Regulated by the Malta Financial Services Authority, we ease access to the European investor landscape and global financial markets paired with the solidity and reliability of a Swissquote, a Swiss banking group.

We provide depository services and global securities trading services to a wide range of clients: collective investment schemes, asset managers, to wealth managers and family offices.

Our human-sized office is located in the vibrant capital city, Valletta; a World Heritage site and European Capital of Culture in 2018; nothing short of an open-air museum.

Get on board with our team!

Job Description

As our new Regulatory Compliance Officer, you will be a crucial element of the team, responsible for supporting the legislative activities of the firm through your regulatory and financial expertise.

More specifically, you will support our Head of Legal and Compliance in the following tasks:

Operating within the legal and compliance framework, ensuring SQFSM is at all times compliant with all regulatory requirements under an Investment Services Cat4A licence, Cat2 licence, Local Legislation including inter alia the Investment Services Act, European Legislation including inter alia MiFID, AIFMD, UCITS, EMIR, IFR, CRD, GDPR, etc. FATCA, CRS, etc.;

Research and analysis of forthcoming EU & Local Directives, Rules & Regulation (including ESMA guidelines where applicable) and impact on SQFSM operations and services;

Presentation of internal reports on gap analysis relating to the implementation of new regulatory requirements;

Preparing various regulatory submissions (MFSA, FIAU, IRD, IRS etc.)

Assistance in the implementation and maintenance of Group Policies and Procedures within SQFSM;

Assistance in overseeing internal control in compliance with Group Policies and Guidelines;

Assistance in drafting legal and regulatory documentation as required;

Assistance in the implementation and maintenance of the Compliance Monitoring Programme;

Assistance in monitoring and reporting on AML within SQFSM;

Assistance in complaint handling in compliance with Group Policies and Guidelines;

Managing client on-boarding (Account Opening, AML & KYC, Client Risk Assessment, Jurisdictional Risk Assessment);

Assistance in drafting of internal Compliance Reports and Memos to Senior Management;

Assistance in due diligence oversight of Fund Clients;

Assistance in the Risk Management framework;

Reporting to the Head, Legal and Compliance and Group Chief Legal Officer .

Qualifications

Prior regulatory compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (required).

Strong command of English (written/verbal). Additional languages: German and/or French (an asset).

Highly organised, rigorous, methodical and focused.

Able to work on own initiative, multi-task and prioritise workload.

Strong work ethic, professionalism and deep commitment to meet the highest standards required by the role and Swissquote Group

More about Swissquote Group

Founded in 1996 and listed on the SIX Swiss Exchange (symbol: SQN), Swissquote makes trading opportunities accessible to more than 390 000 clients (June 2020).

Join our 800 employees all around the world (Switzerland, Luxembourg, UK, Malta, Dubai, Hong Kong and Singapore) to challenge the code in eTrading, eForex, Robo-advisory, cryptocurrencies and more.

You will be able to accelerate your career in a fast-moving and rock-solid group: during these last couple of years, our bank has become the Swiss leader in online trading!

We still keep growing and despite the COVID-19 pandemic, we were able to deliver exceptional results in 2020.

SENIORITY LEVEL: Associate

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