Compliance Officer

WHO WE ARE

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 21.3 billion and posted total operating income of CHF 260.0 million in 2023. As of 31 December 2023, Leonteq's shareholders' equity totalled CHF 780.1 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 organisational values people together, passion, dedication, quality and expertise are our guiding north star.

What you'll do

**Provide operational support for the KYC process**
- Client on-boarding by carrying out anti-money laundering and client due diligence checks by gathering, reviewing and verifying all relevant documents
- Conduct in-depth research and document all analyses performed on customers and/or issues in a manner suitable for review by internal and external stakeholders
- Handle alerts (internal or external escalation / classification without follow-up) and conduct investigations into suspicions of money laundering / terrorist financing relating to customers and/or matters and forward findings in a clear and concise manner for internal review
- Identify potential operational deficiencies and development opportunities in the systems used, in order to maximize the benefits they can generate

**Assist with any other compliance-related issues or projects**
- Implementation of local and international regulatory requirements and monitoring of regulatory changes
- Drafting and reviewing compliance manuals, policies and specific procedures
- Design and deliver training on required topics (e.g. anti-money laundering, conduct risk, regulatory changes)
- Implement local and international regulatory requirements and monitor regulatory changes
- Support for specific compliance projects on a case-by-case basis

**Answer to legislative and regulatory issues defined by the supervisory authorities (CCAF and AMSF)**
- Analyze investigation files from LCB/FT-P-C units
- Draft and forward suspicious transaction reports to AMSF
- Produce reports for management bodies and supervisory authorities

**Create synergies with all teams**
- Act as a key point of advice, which may involve supporting staff training, providing day-to-day assistance to staff and participating in the implementation of new policies and procedures within the investment services firm
- acting as a point of contact for new employees and LCB/FT-P-C units
- Ensure intra-group exchanges
- Interact with Compliance Officers on LCB/FT-P-C

What you'll need
- Master degree in Law, Compliance or similar
- 4 years experience in a financial institution (if possible in Monaco), with at least 2 years experience in a similar role
- Proficient in local legal and regulatory requirements, knowledge of Swiss and Monaco requirements
- Active interest in capital markets and the respective regulations
- Dedicated and responsible personality with strong team-player attitude
- Ability to work independently and to take initiative
- Sufficient knowledge and experience to act as deputy MLRO / AML responsible at local level
- Knowledge of marketing and distribution of financial products and cross-border guidelines.
- Very good use of Microsoft Office
- Fluent in French and English

Nice to have
- Holding Monegasque AML professional certification
- Knowledge in Spanish or any other language is an asset