Compliance Officer - Reviews & Investigations

  • Chemin de la Crétaux 33, 1196 Gland, Switzerland
  • 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

As a Compliance Officer, you will be part of the Legal & Compliance Department and work in the Compliance Service. You will have multiple tasks, which include:

  • Participation in reviews of key clients
  • Participation in the analysis and drafting of MROS reports. Participation in investigations, enhanced due diligence analysis
  • Monitoring activities (higher risk transactions, special clarifications, etc.)
  • Review of client’s account opening requests (private clients, companies, institutional clients, financial institutions, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB)
  • Review of tax compliance aspects, such as FATCA and CRS (automatic exchange of information)
  • Optimization of internal processes, review and drafting of internal guidelines
  • Delivery of internal training on compliance topics
  • Participation in key regulatory projects
  • Support and advice to the Front line and Management

Qualifications

  • Graduated in Laws or in Economics (a Certificate in Compliance Management is a very strong asset)
  • Several years in a Compliance Department in the financial industry
  • Excellent command of English and French (German is a strong asset)
  • Analytical and methodological approach
  • Have a particular interest in data analysis
  • Very good communication and writing skills
  • Strong team player who enjoys working in multicultural, dynamic, technological and international environment

Additional Information

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