IG Bank SA, Head of Legal and Compliance

Job Title
IG Bank SA, Head of Legal and Compliance

Job Description
So, who are we?
Hello, we're IG Group. We are a publicly-traded FTSE250 FinTech company who run mobile, web and desktop platforms that help our clients trade stocks & shares, leveraged products, Futures & Options and Crypto.

We are ambitious. Over 340,000 people already use our platforms. We're global with offices in 18 countries and products in 16 regions. We're hungry to move faster, ship better product for our customers and grow our user base. We believe in high autonomy, and we want people who are looking to do things differently in order to create better experiences for our customers.

We work in cross-functional teams and are laser focused on increasing the number of active clients we serve to drive sustainable growth.

Job Responsibilities
Strategic Leadership & Operations
Establish, lead and directly operate the Legal and Compliance function for the bank, including hands-on execution of day-to-day compliance and legal activities.

Advise Senior Management on legal and regulatory requirements while personally managing key compliance processes to safeguard the business, its assets, finances, and employees.

Regulatory Framework & Implementation

Implement and operationally execute IG Corporate Risk and Compliance Strategy, adapting policies to meet SWISS REGULATOR requirements and personally conducting internal communication and training sessions across the Swiss Office.  Monitor and actively apply the latest SWISS REGULATOR legislation to daily operations, ensuring immediate integration into business processes.

Personally prepare and submit monthly and quarterly Compliance reports to SWISS REGULATOR and internal stakeholders.

Directly manage and participate in regulatory audits, including preparation of documentation, coordination of responses, and implementation of remediation actions.

Operational Compliance & Risk Management

Execute and continuously improve Credit Risk and Compliance processes including:

• Processing KYC and AML checks for client onboarding
• Conducting enhanced due diligence reviews
• Monitoring and reviewing client portfolios and transactions on an ongoing basis
• Directly investigating suspicious activities and filing reports
• Training staff on financial crime prevention and response protocols

Hands-on review and updating of internal Compliance guidelines, KPIs, and procedures, ensuring practical application across all teams in the Swiss office.

Authority Relations & Business Development

Personally liaise with and respond to Swiss regulator and other regulatory authorities, serving as the primary operational contact for all regulatory inquiries and submissions.

Actively participate in new business initiatives as Principal Compliance Officer, directly assessing regulatory feasibility and conducting compliance due diligence alongside the CEO and CRO.

Personally review and approve/reject some client applications, conducting criminal risk assessments and immediately escalating irregularities to the CEO.

Day-to-Day Legal & Governance Operations

Operationally execute the Bank's Legal and Compliance strategy through:

• Acting as Money Laundering Reporting Officer Switzerland (hands-on MLRO duties)
• Designing and executing the compliance monitoring and controls plan
• Directly managing the compliance team in Poland executing first-line controls
• Overseeing and supporting the account opening team on a daily basis
• Conducting the annual compliance risk assessment and developing the activity plan
• Monitoring, analysing and implementing regulatory changes as they occur
• Managing and updating the Policy Governance Framework
• Handling all communications with SWISS REGULATOR, auditors and external authorities
• Preparing and presenting reports to the Executive Committee and Board of Directors
• Delivering internal legal and compliance training to employees
• Serving as Secretary to the Board and Board Committees (meeting preparation, minutes, follow-up)
• Organizing and managing shareholders meetings and communications
• Drafting non-financial disclosures for annual reports
• Directly managing legal claims and disputes (client, employee, third-party)
• Coordinating with external lawyers and authorities on specific cases
• Reviewing, negotiating and drafting all legal agreements for the bank
• Handling and resolving all client and third-party complaints from receipt through resolution

Key Qualification Requirements
What you'll need for this role

• Relevant management experience in the Swiss Financial markets and digital finance industry – to understand the local financial services Legal and regulatory framework.
• Demonstrable experience in developing and maintaining excellent working relationships with peers and senior management.
• Degree qualified
• Fluent in English

Desirable

• Recognised Legal and Compliance qualification
• French, German and Italian language skills.

How We Work
We try to take a thoughtful approach to our ways of working as a company. We follow a hybrid working model with 3 days in the office – which we think balances the need to collaborate effectively and connect with each other. When it comes to how we deliver, there are 5 things we want everyone to do to drive high performance, better learning and career satisfaction:

• Lead and Inspire: Drives trust, alignment, and enthusiasm
• Think Big: Focus on the problems that most impact commercial outcomes
• Champion the client: Understand and prioritise client's needs
• Deliver at pace: Push for fast, sustainable growth;
• Raise the bar: Take ownership, be accountable and share feedback

We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We're committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that's why we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Learn more about our D&I approach here.

The Perks
Your growth fuels our success Thrive with tailored development programs, mentoring opportunities with leaders, and clear career progression. Expand your network through committees, sports and social clubs. Enjoy extra time off for volunteering and community work.

Learn more about the Perks here

Join us for this exciting journey.
Apply now
Number of openings
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