Building the bank of tomorrow takes more than skills.

It means combining our differences to imagine, discuss, code, develop, test, learn… and celebrate every step together.

Share our vibes? 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 teamwork, leadership and responsibility.

We are the Swiss Leader in Online Banking and we provide trading, investing and banking services to +500’000 clients, through our performant and secured digital platforms.

Our +1’000 employees work in a flexible way, without dress code and in multicultural teams.

By having a huge impact on the industry, they are growing their skills portfolio and boosting their career in a fast-pace environment.

We are all in at Swissquote. As an equal opportunity employer, we welcome candidates from all backgrounds, experiences and perspectives to join our team and contribute to our shared success.

Are you all in? Don’t be shy, apply!

As the Associated-Director in the Compliance & Risk department, you will be in charge of the compliance and risk  team. Reporting directly to the CEO, the Board of Directors and Group Chief Legal Officer, you will be in charge of the supervision of the Company’s legal and compliance framework and team management.

Key responsibilities

Legal and Compliance framework

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, QI, DORA, etc.:

• Holding the Compliance Officer role as approved by the MFSA
• Reporting to the Group Chief Legal Officer and the Board of Directors
• Ensure the timely submission of regulatory returns and regulatory fees.
• Ensure good working relationships are maintained with the various Regulators.
• 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
• Close collaboration with the MLRO in AML/CFT compliance requirements
• Close collaboration with Group compliance and risk teams
• 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
• Key function holder in the Risk Management framework
• Work together across the organisation to assist functions to identify, understand and manage the key risks to the business and objectives and to help embed an appropriate culture towards managing risk.
• Supervise implementation of FATCA, CRS and QI regulatory requirements

Team Management:

• Leading and supporting a team:
  • Fostering a positive work atmosphere where employees feel motivated, valued, and connected to the team and the organization.
  • Promoting collaboration, trust, and cohesion among team members.
  • Addressing any potential conflicts among team members to your senior management and/or HR Partner
  • Supporting employee growth through training, mentorship, coaching, and advancement opportunities.
• Hiring:
  • Leading the recruitment process with your Talent Acquisition Partner
  • Ensuring new hires are properly introduced to the team, the organization, its culture, policies, and their specific roles.
• Performance Management: Setting performance expectations, providing feedback, conducting performance reviews, and addressing any performance issues.
• Conducting under performance process with the help of your Senior Management and HR Partner.

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
• Relationship building – ability to establish and maintain strong relationships both internally and externally whilst challenging the business
• Ability to act with due professional care, demonstrating sound integrity and confidentiality; and
• Analytical thinking – explores and understands trends, opportunities and risks that could affect the business.