Compliance Officer

  • Boston House, 63-64 New Broad St, London EC2M 1JJ, UK
  • Full-time

Company Description

By joining Swissquote, you will become a member of the sector's leading company. You will be encouraged to develop your skills and to grow within teams of highly qualified specialists. We encourage personal development and actively support creative team work, leadership and responsibility.

Job Description

You will work with the Compliance Team in undertaking compliance monitoring and day-to-day compliance activities; helping to ensure that the Company complies with all regulatory requirements, including global tax compliance and financial crime legislation.

You will also assist and liaise with the Group Legal and Compliance Officer and external counsel with legal matters as required from time to time.

As a Compliance Officer, you will:

  • Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions;
  • Review financial promotions, company’s and partner’s website and provide approval. Ensure staff in business departments are aware of, and adhere to, the Company’s policies on financial promotions;
  • Knowledge of the following processes: 
    • AML/KYC processes;
    • Sanction and PEP screening;
    • Global tax compliance legislation (AEOI/FATCA);
  • Review customer complaints, claims and litigation, investigate where appropriate, and work with staff in business departments to ensure compliance with Company policies on customer complaints;
  • Have day-to-day awareness of legal risks applicable to the business and work with Group Legal function and external counsel to ensure smooth and timely delivery of legal matters;
  • Provide legal, regulatory & compliance advice to the business; and
  • Maintain awareness of legal and regulatory developments; providing analysis and assessment where required

Qualifications

Education

  • Educated to Degree level, ideally with, or working towards, industry qualifications (e.g. CISI, ICA)

Experience

  • 2-4 years Compliance experience in a Financial Services company and/or qualified lawyer with 2-4 years post qualification experience gained in a law firm or in-house and strong technical legal and regulatory

Technical 

  • Knowledge of rules (including MiFID II) applying to FCA regulated firms dealing with OTC derivatives;
  • Knowledge of investment/trading industry; and
  • Good awareness of GDPR and Data Protection legislation
  • Fluent English, both written and spoken. Any other language (especially French) a plus

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