Published: 15 October 2024
Compliance Officer
Zürich
Leonteq Securities AG
First Line of Defense Specialist
Key information
- Job ad expired
- Workload:100%
- Contract type:Unlimited employment
- Language:English (Fluent), German (Fluent)
- Place of work:Europaallee 39, 8004 Zürich
WHO WE ARE
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, our commitment to excellence and our entrepreneurial spirit. Our organisational values people together, passion, dedication, quality and expertise are our guiding north star.
What you'll do
- Further develop the first line of defense and business control function by identifying operations risks and putting controls in place for our Sales division
- Develop and maintain of consolidated reporting for the management related to risk framework, including ad hoc reporting as needed
- Document risks, impacts and mitigating controls as well as summarize issues and incidents for the division
- Identify, measure, monitor control and report on operational risks within the division
- Create, maintain and monthly reporting of metrics, including analysis and escalation of metrics performance against thresholds and development of new metrics to monitor key risk and performance indicators
- Develop, review, and maintain procedures for the First Line of Defence
- Provide input into risk meetings, and perform data analysis
What you'll need
- Bachelor degree in Business Administration, Finance or similar
- Professional experience in financial services industry; preferably in Compliance, process management or operational risk management or internal audit
- Basic knowledge on the structured products market
- Knowledge of risk management framework, experience in creating process flows, identify risks, designing and mitigating controls
- Fluent in English and German
Nice to have
- Strong analytical and investigative problem-solving skills
- Interpersonal qualities to influence decision-making and improve risk management behaviours with business stakeholders
- Project management, organizational and reporting skills
- Interest to learn Governance, Risk and Controls systems
- Ability to work independently and as part of a team
Why you'll love working here
- Experience the dynamics of a leading fintech company
- Learn about the universe of structured products
- Insight opportunities across all departments to understand and build know-how in the mechanics of the structured investment product value chain
