Team Head Compliance Coverage Switzerland

vor 1 Monat

Zürich, Schweiz Fintechnews Vollzeit

Description

Leonteq is a leading player in the financial industry, renowned for their innovative approaches, commitment to excellence and entrepreneurial spirit; The organizational values people together, passion, dedication, quality and expertise are their guiding NorthStar's.

Responsibilities

  • Heading Leonteq Securities AG's Swiss Compliance Coverage team with a direct reporting line to the Head Compliance Coverage EMEA.
  • Helps to ensure that the compliance framework and strateqy of Leonteq is properly implemented and aligned with the relevant regulatory and internal standards
  • Supports the building and maintenance of a robust compliance risk assessment framework as well as of the monitoring and testing program
  • Provide clear and concise compliance advise to the business areas across the departments as well as in business projects and initiatives.
  • Compliance monitoring of all Leonteq Securities AG's business activities with partner entities.
  • Implementation of various national and international regulatory requirements
  • Drafting and implementing internal policies
  • Preparation of memoranda on specific regulatory and compliance issues
  • Review of marketing material and respective advice to business areas
  • Review and implementation of legal opinions with regard to distribution activities
  • Assistance throughout audit fieldwork (preparation of files for auditors, discuss queries and findings with auditors)
  • Handling complaints EMEA-wide
Qualifications
  • 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 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
Hiring organization

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.

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