Compliance Officer – Reviews & Investigations

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von: Swissquote | localité: GlandN: Swissquote

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+500’000 clients, through our performant and secured digital platforms.

Our +1000 employees work in a flexible way, without dress code and in multicultural teams.
By having a huge impact on the industry, they are growing their skills portfolio and boosting their career in a fast-pace environment

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Compliance Officer – Reviews & Investigations

As a Compliance Officer, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, andwe are looking for different types of seniority profiles whose main tasks will be:

  • Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB)
  • Conducting enhanced due diligence analyses
  • Drafting formal compliance assessments
  • Providing support and advice to the front office and management

Depending on the level of seniority, the following tasks may also be required:

  • Assisting the Manager in supporting the team on a daily basis, including providing responses to questions, conducting second-level reviews of team members’ assessments and serving as a trusted role model in terms of work quality, efficiency and professional behavior
  • Serving as the key point of contact for complex cases
  • Optimization of internal processes, including the review and drafting of internal guidelines


Qualifications

  • Bachelor’s degree, preferably in Law, Economics, International Relations, Political Science or similar (a Certificate in Compliance Management is a very strong asset)
  • 3-7 years of financial services compliance experience (prior experience in periodic reviews specifically is a very strong asset)
  • Knowledge of the Swiss legal framework
  • Excellent command of English and French (German is a strong asset)
  • Analytical and methodological approach
  • Structured and professional working style
  • Interest and experience in data analysis (including Excel)
  • Excellent writing and communication skills
  • Strong team player who enjoys working in multicultural, dynamic, technological and international environment

SQ2

  • Gland

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