We are seeking to recruit a Junior Compliance Officer.
Your responsibilities
Operating within the legal and compliance framework, ensuring compliance with all regulatory requirements under a Cat4A licence, Cat2 licence, Custody of Pension Schemes Regulations and respective MiFID, AIFMD, UCITS, FATCA, CRS, etc.:
- Preparing various regulatory submissions (MFSA, FIAU, CBM, IRD, etc.)
- Reporting to the Head, Legal and Compliance and Group Chief Legal Officer
- Assistance in the Risk Management framework
- Assistance in the implementation and maintenance of Group Policies and Procedures within SQFSM
- Assistance in monitoring and reporting on Compliance and AML within SQFSM
- Assistance in overseeing internal control in compliance with Group Policies and Guidelines-
- Assistance in complaint handling in compliance with Group Policies and Guidelines
- Handling Client on-boarding (Account Opening, AML & KYC
- Assistance in due diligence oversight of Fund Clients
- Assistance in drafting of internal Compliance Reports
- Presentation of internal reports analysing future new Directives, Rules & Regulation and impact on SQFSM operations and services, if any.
- Prior compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (asset).
- Strong command of English (written/verbal). Additional languages: German and/or French (an asset).
- Highly organized, 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.
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