Compliance Officer

von: Leonteq Securities AG | Ort: Zürich


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 23.1 billion and posted total operating income of CHF 456.4 million in 2022. As of 31 December 2022, Leonteq's shareholders' equity totalled CHF 870.0 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

  • Senior position in the Compliance team which is in charge for onboardings, KYC and related AML matters, incl. deputy function during team head's absence
  • Handling of onboardings and KYC due diligence procedures, including related AML tasks; e.g. AML clarifications and assessments in terms of PEPs and/or other higher risk factors
  • Implementation of KYC/AML policies and (new) regulations such as AMLA, AMLO-FINMA, CDB 20, FinSA, FinIA
  • Daily interaction with front office, including primarily the provision of advice regarding onboarding/KYC/related AML questions
  • Preparation of internal Compliance notes/assessments on onboarding/KYC/related AML issues
  • Planning and responsibility regarding specific Compliance reviews in context of above-mentioned regulations
  • Involvement or lead in different Compliance projects, e.g. assessments on (new) business models, implementation of (new) software tools
  • Documentation and life cycle management of relationships
  • Support throughout audit fieldwork (preparation of files for auditors, discuss queries and findings with auditors etc.)

What you'll need

  • Degree in Law, Compliance, Finance, Business Administration or a related field (preferably Swiss university or Swiss University of Applied Sciences)
  • At least 3-5 years of experience in the financial industry in a similar Compliance, Audit or Consulting function
  • Knowledge of Swiss financial markets laws and regulations (in particular regarding AMLA, AMLO-FINMA, CDB 20, FinSA, FinIA)
  • Dedicated personality with strong team-player attitude and willingness to take responsibility
  • Excellent analytical, organizational and communicative skills
  • Ability to take initiative and to work independently and under pressure, manage own goals and set priorities
  • Fluent in English and German
  • Good MS Office Skills

Nice to have

  • Knowledge of further European languages

N: LeonteqSecuritiesAG

  • Zürich

Webseite Leonteq Securities AG

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