Junior Compliance Officer

  • 46, St. Christopher’s Street, Valletta, Malta, mt, valletta, Malta
  • Full-time

Company Description

Swissquote Group

As a leading provider of online financial services, Swissquote Group offers innovative solutions and comprehensive services to meet the wide ranging demands of its 330,000 clients.

Swissquote Bank Ltd, a subsidiary of Swissquote Group, holdings a banking licence by the Swiss Financial Market Supervisory Authority (FINMA), provides solutions for eTrading, eForex, ePrivate Banking, eMortgages as well as Saving accounts.

With a platform and trading floor linked to more than 60 stock markets in over 40 countries, including off-exchange trading in derivative products, Swissquote offers simple, rapid, online trading in shares, bonds, funds, options, futures, warrants, ETFs, Structured Products and forex. In addition, Swissquote also offers specialized services for independent asset managers and institutional clients.

Swissquote Group is listed on the SIX Swiss Exchange (symbol: SQN).

Swissquote Group employs 700 professionals at its headquarters in Gland (Switzerland) and offices in Zurich, Bern, Dubai, Malta, London, Luxembourg, Singapore and Hong Kong.

Swissquote Financial Services (Malta) Limited (SQFSM)

SQFSM is a limited liability investment services company incorporated in Malta in October 2012 and regulated by the MFSA. SQFSM is a fully-owned subsidiary of Swissquote Group. SQFSM offers Global Custody and Depository services under its Cat4A licence as well as Global Securities Trading Services to institutional clients and asset managers across Europe under its Cat2 licence.

Job Description

 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.

Additional Information

-  Prior compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (required).

-  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.

 

I

Privacy Policy