WHO WE ARE Leonteq is a Swiss fintech company with a leading marketplace for structured investment solutions. Based on proprietary modern technology, the company offers derivative investment products and services and predominantly covers the capital protection, yield enhancement and participation product classes. Leonteq acts as both a direct issuer of its own products and as a partner to other financial institutions. Leonteq further enables life insurance companies and banks to produce capital-efficient, unit-linked pension products with guarantees. Leonteq generated turnover of CHF 21.3 billion and posted total operating income of CHF 260.0 million in 2023. As of 31 December 2023, Leonteq\'s shareholders\' equity totalled CHF 780.1 million. Leonteq has an investment grade rating from the rating agencies Fitch Ratings Ltd. and Japan Credit Rating Agency, Ltd., who have evaluated and assigned ratings to Leonteq AG and Leonteq Securities AG, respectively. Furthermore, Leonteq has ESG ratings from both MSCI as well as Sustainalytics. Leonteq is listed on the SIX Swiss Exchange (SIX: LEON) and is a securities firm regulated by the Swiss Financial Market Authority FINMA and is a member of the Swiss Structured Product Association. About the role At Leonteq, we are a leading player in the financial industry, renowned for our innovative approaches, commitment to excellence, and entrepreneurial spirit. Our organisational values of people together, passion, dedication, quality, and expertise are our guiding north star. We have an exciting opportunity for a Compliance Officer & MLRO in Leonteq’s London Branch to support local Branch Management as well as the European Compliance Team of Leonteq Securities. This role requires an individual with subject matter expertise, management skills, innovative ideas, and a pro-active and solution-oriented mindset. The successful candidate will collaborate closely with the European Head of Compliance, the Compliance Officers in the other European Branches, and the head office in Switzerland. What you\'ll do Responsible for the FCA Senior Management Function of Compliance Officer (SMF 16) and MLRO (SMF 17) for Leonteq Securities (Europe) London Establish and maintain the London Branch Compliance & Financial Crime framework and steer regulatory compliance with key regulatory obligations Develop and maintain Compliance related Policies, Procedures and Manuals Ensure Branch adherence with Compliance processes and guidelines Key contact for the London Branch’s interaction with the FCA Develop and execute London compliance monitoring programme Support the European Product Governance Committee and act as key subject matter expert for ‘Consumer Duty’ Perform and document Compliance risk assessments Ownership of Compliance reporting to the local Branch Manager and contribute to the European and groupwide Compliance & Financial Crime reporting Own regulatory reporting to the FCA Attend local, European and Group meetings & committees and contribute as a key subject matter expert Advise business about distribution in the UK and the EU, licensing and other regulatory issues, the KYC process, relevant documentation, rules of conduct and relevant policies Perform the customer onboarding for UK Branch which includes the ad-hoc & periodic review and completion of high-risk customer onboarding (EDD/HRC) Ensure that conflicts of interest are prevented or that unavoidable conflicts of interest are adequately considered Conduct local classroom training for Compliance and Financial Crime topics Act as point of advisory for any Product Governance, MiFID 2, Financial Crime and general Compliance aspects Monitor the complaints-handling process to ensure compliance with regulatory requirements Maintain the Conflicts register, travel register, and branch visit register Prepare memoranda on specific Compliance issues Monitor regulatory development in the UK and Ireland and steer implementation Act as key contact for internal and external auditors (in coordination with the local Branch Manager) Provide coverage for the other European Compliance Officer in case of absences What you\'ll need Minimum 5 years of working in Compliance within the financial service industry/audit firms Bachelor’s degree in legal or a related field Extensive knowledge of EU and UK financial regulations and directives Experience in interacting with UK and EU regulators and internal and external auditors Ability to design and implement Compliance Programmes and Policies Strong working knowledge of structured products Excellent communication skills and interpersonal skills, with a demonstrated ability to collaborate effectively across different departments and regions Advanced analytical and problem-solving capabilities Fluency in English Nice to have Additional language Why you\'ll love working here Experience the dynamics of a leading fintech company Learn about the universe of structured products Work in modern facilities at an exceptional location Hybrid work system: home office and office Complementary fruit, coffee and tea in our offices #J-18808-Ljbffr
