Compliance Officer

  • 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 300,000 clients.

With an Online Trading Platform 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, forex and cryptocurrencies.

Swissquote Group is listed on the SIX Swiss Exchange (symbol: SQN) and employs 700 professionals at its headquarters in Gland (Switzerland) and offices in Zurich, Bern, Dubai, Hong Kong, London, Luxembourg, Malta and Singapore.

Swissquote Financial Services (Malta) Limited

Swissquote Financial Services (Malta) Ltd, the Malta-based fully-owned subsidiary of Swissquote Group, is a financial services company regulated by the Malta Financial Services Authority and providing Depository Services and Global Securities Trading Services to Collective Investment Schemes, Asset Managers, Wealth Managers and Family Offices.

By joining Swissquote, you will become a member of the sector's leading Depositary. 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.

We are looking for a positive and adaptive hard worker. We offer an unparalleled opportunity to operate in a fast pace environment with a great team of like-minded peers.

Our office is located in the vibrant capital city, Valletta; a World Heritage site and European Capital of Culture in 2018; nothing short of an open-air museum.

Get on board with our team!

Job Description

Operating within the legal and compliance framework, ensuring compliance with all regulatory requirements under a Depositary, Investment Services and Pension Schemes Custodian licence, applicable Regulations and respective MiFID, AIFMD, UCITS, FATCA, CRS, etc.:

  • Holding the Compliance Officer role as approved by the MFSA
  • Reporting to the Group Chief Legal Officer and the Board of Directors
  • Preparing various regulatory submissions (MFSA, FIAU, CBM, IRD, etc.)
  • Preparing and regularly updating Company policies and procedures in line with regulatory requirements
  • The implementation and maintenance of Group Policies and Procedures within SQFSM
  • Monitoring and reporting on Compliance and AML within SQFSM; including maintaining of a Compliance Monitoring Programme
  • Overseeing internal control in compliance with Group Policies and Guidelines
  • Complaint handling in compliance with Group Policies and Guidelines
  • Handling Client on-boarding (Account Opening, AML& KYC) compliance requirements in close collaboration with the MLRO
  • Assistance in due diligence oversight of Clients (as required)
  • Drafting of internal Compliance Reports and presentation to the Board of Directors
  • Preparation and presentation of internal reports analyzing future new Directives, Rules & Regulation and the impact on SQFSM operations and services, if any
  • Assistance in the Risk Management framework

Qualifications

  • Prior compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (required)
  • Legal degree (not required but an asset)
  • Previously approved by MFSA as Compliance Officer (an asset)
  • 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 prioritize workload
  • Strong work ethic, professionalism and deep commitment to meet the highest standards required by the role and Swissquote Group
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