Compliance Officer 100%

vor 1 Monat

Zürich, Schweiz Leonteq Securities AG Vollzeit

WHO WE ARE

Leonteq is a Swiss fintech company with a leading marketplace for structured investment solutions. Based on proprietary modern technology, the company offers derivative investment products and services and predominantly covers the capital protection, yield enhancement and participation product classes. Leonteq acts as both a direct issuer of its own products and as a partner to other financial institutions. Leonteq further enables life insurance companies and banks to produce capital-efficient, unit-linked pension products with guarantees.

Leonteq generated turnover of CHF 21.3 billion and posted total operating income of CHF 260.0 million in 2023. As of 31 December 2023, Leonteq's shareholders' equity totalled CHF 780.1 million.

Leonteq has an investment grade rating from the rating agencies Fitch Ratings Ltd. and Japan Credit Rating Agency, Ltd., who have evaluated and assigned ratings to Leonteq AG and Leonteq Securities AG, respectively. Furthermore, Leonteq has ESG ratings from both MSCI as well as Sustainalytics.

Leonteq is listed on the SIX Swiss Exchange (SIX: LEON) and is a securities firm regulated by the Swiss Financial Market Authority FINMA and is a member of the Swiss Structured Product Association.

About the role

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 organizational values people together, passion, dedication, quality and expertise are our guiding NorthStar's.

What you'll do

  • Broad Compliance Coverage Team activities and support of our front office employees, especially with regard to cross border related questions, trading and distribution of structured products (including cross-border), other product related aspects (i.e. marketing materials) etc.
  • Support in regard to the drafting and implementation of relevant policies and procedures to identify, manage and track risks to which Leonteq is exposed to
  • Assistance with compliance reviews and reporting duties
  • Compilation and preparation of the necessary documentation for internal and external examinations (e.g. audits)
  • Support in other core compliance tasks
  • Support in audit related topics
  • Compliance reviews and responsibility for reporting duties

What you'll need

  • Law or economic degree, at least 3 years of Compliance experience in the financial sector
  • Experience in the area of trading floor compliance (equities, fixed income, derivatives etc.)
  • Knowledge of Swiss and European financial markets laws, regulation and supervisory law
  • Active interest in capital markets and the respective regulations
  • Dedicated and responsible personality with strong team-player attitude
  • Ability to work independently and to take initiative
  • Fluency in English

Nice to have

  • Knowledge of further European languages

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