Compliance Analyst

AI overview

Support compliance with regulatory standards by managing client on-boarding and conducting due diligence for Institutional, Corporate and Fund Clients.

The Compliance Analyst supports the Company in ensuring adherence to applicable laws, regulations, internal policies, and governance standards. The role requires a highly analytical, detail-oriented, and autonomous professional capable of operating effectively within a regulated financial services environment. The Compliance Analyst is expected to work closely with internal stakeholders to support the effective implementation of compliance requirements and to promote a strong compliance culture across the organisation.

In this role, you shall be responsible for:

Handling client on-boarding (Account Opening, AML & KYC);
Performing due diligence oversight on a number of Institutional, Corporate and Fund Clients;
Supporting in monitoring and reporting on Compliance and AML within SQFSM;
Assisting with the preparation of various regulatory filings and returns to competent authorities (MFSA, FIAU, CBM, IRS, IRD, etc.);
Assisting in the implementation and maintenance of group policies and procedures within SQFSM;
Assisting with preparing internal reports analysing future new directives, rules & regulation and impact on SQFSM operations and services;
Assisting with overseeing internal control in compliance with group policies, guidelines and risk management framework;
Providing support during audits and inspections.

Prior compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance is preferred;
Familiarity with EU financial services regulation (e.g. MiFID II, AML/CFT framework, UCITS/AIFMD, ESMA/MFSA requirements) is considered an asset;
Strong analytical and critical-thinking skills, with the ability to interpret complex regulatory requirements and translate them into practical actions;
High level of autonomy, ownership, and accountability, with the ability to manage multiple priorities with minimal supervision;
Excellent attention to detail and strong organisational skills;
Strong command of English (written/verbal). Additional languages: German and/or French would be considered an asset;
Strong work ethic, professionalism and deep commitment to meet the highest standards required by the role and Swissquote Group.