We are Swissquote and we challenge the code to deliver innovative services & products that make financial opportunities accessible to everyone.

We deliver our services to + 450’000 clients who can trade over 3 million products through performant and secured platforms.

As well as various online trading products (stocks, cryptocurrencies, bonds, funds, derivative products…), we provide Forex, Robo-Advisory and Mortgages solutions.
That makes us the Swiss Leader in online Banking!

Join our 1000 employees all over the world to accelerate your career in fast-moving and rock-solid company! We keep on growing and at the end of June 2022, Swissquote held over 50 billion Swiss francs in assets for more than 520,000 private and institutional clients.

Follow Humans of Swissquote to discover our people & culture!

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.

• Prior compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (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 prioritise workload.
• Strong work ethic, professionalism and deep commitment to meet the highest standards required by the role and Swissquote Group.

SQ1