Compliance Officer

vor 3 Wochen

Frankfurt am Main, Deutschland Leonteq AG Vollzeit

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, our commitment to excellence and our entrepreneurial spirit; Our organizational values people together, passion, dedication, quality and expertise are our guiding NorthStar's

What you'll do
- Support the Head of Compliance in developing and maintaining a robust and harmonized compliance framework across the EU, focusing on MaComp, MiFID II
- Ensure regulatory compliance with key regulations such as MaComp, MiFID II etc.
- Develop and maintain Compliance related Policies, Procedures and Manuals
- Ensuring compliance with compliance processes and guidelines and execution of related risk-based controls
- Carrying out and documenting risk analysis as per BT 1.2.1.1 MaComp and deriving monitoring measures as per BT 1.3.2.1 MaComp
- Establishment of regulatory required Compliance reporting to the local Management Board in line with regulatory requirements
- Act as Deputy Compliance Officer as per MaComp
- Perform regular risk-based monitoring activities and define risk mitigating measures
- Ensure that conflicts of interest are prevented or that unavoidable conflicts of interest are adequately considered
- Act as point of advisory for any Product Governance aspects as per BT 5 MaComp and foster the regulatory compliance with related requirements across the European entities
- Monitor the complaints-handling process to ensure compliance with regulatory requirements
- Act as key point of advisory for MaComp, MiFID II aspects. This may include providing support for staff training, providing day-to-day assistance for staff, and participating in the establishment of new policies and procedures within the investment services enterprise
- Act as key contact for internal and external auditors (in coordination with the local Head of Compliance)

What you'll need
- Bachelor’s degree in legal or a related field
- Proven track record of 5+ years in Compliance roles within the financial service industry/audit firms
- Extensive knowledge of EU financial regulations and directives, including MiFID II, MaComp, WpHG, PRIPS, WpIG etc.
- Strong experience in designing and implementing Compliance programs and Policies that adapt different regulatory requirements
- Good communication skills and interpersonal skills, with a demonstrated ability to collaborate effectively across different regions
- Advanced analytical and problem-solving capabilities, compared with the ability to excel a fast
- pace environment
- Experience in interacting with EU regulators and internal & external auditors
- Fluency in English and German

Nice to have
- Additional language skills
- Any Financial Crime (GwG, BaFin Commentary etc.) experience

  • Compliance Officer

    vor 2 Monaten

    Frankfurt am Main, Deutschland Angove Partners Vollzeit

    **About the Company** **Role Summary** You will play a crucial role in ensuring compliance with regulatory requirements for the company's Capital Markets & Advisory business in Europe. In addition to Risk & Compliance, you will also take on the role of Money Laundering Reporting Officer (MLRO) and provide compliance support for Group investment business...

  • Compliance Officer

    Vor 5 Tagen

    Frankfurt am Main, Deutschland Moody's Vollzeit

    Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions. The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department, in particular the EMEA Compliance team in developing, implementing and administering the Company's compliance program. The individual will...

  • Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Hessen, Deutschland Taylor Root Vollzeit

    Unser Auftraggeber ist ein weltweit agierendes Ingenieur- und Beratungsunternehmen.Unterstützen Sie das Unternehmen alsCompliance Officer (m/w/d)am Standort Frankfurt am Main bei der Umsetzung und Weiterentwicklung der internen Compliance-Richtlinien. In dieser verantwortungsvollen Rolle sind Sie für die Durchführung und Verwaltung von internen und...

  • Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Hessen, Deutschland Moody's Vollzeit

    Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply You may be a perfect fit for this role or other open roles.Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.At...

  • Compliance Officer

    vor 3 Wochen

    Frankfurt am Main, Hessen, Deutschland Moody's Vollzeit

    Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply You may be a perfect fit for this role or other open roles.Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.At...

  • Banking Compliance Officer

    vor 2 Monaten

    Frankfurt am Main, Deutschland Flex Suisse GmbH Vollzeit

    Flex Suisse ist ein alternativer Rechtsdienstleister und führender Anbieter von Legal & Compliance Services in Deutschland, Schweiz und Liechtenstein. Zu unseren Partnern gehören führende Wirtschaftskanzleien, Großbanken und Industriekonzerne. Für unseren Kunden, einen internationalen Zahlungsdienstleister, suchen wir ab sofort einen Compliance Officer...

  • Compliance Officer

    Vor 5 Tagen

    Frankfurt am Main, Deutschland Saxton Leigh Vollzeit

    **THE COMPANY**: Our client is an international commercial bank, with assets of over $20 billion. They are looking for a Compliance Officer for their branch in Frankfurt. **THE RESPONSIBILITIES**: - Ensuring compliance with the regulations specified by BaFin - Initiating the development and adaptation of the necessary activities as well as monitoring...

  • Senior Compliance Advisory Officer

    vor 2 Monaten

    Frankfurt am Main, Deutschland Apollo Solutions Vollzeit

    A prestigious and long-standing private bank is looking for an experienced Compliance Advisory Manager/Officer to join a growing compliance function and provide advice to their investment banking arm. Some of your tasks will be: - Providing advice and regulatory guidance to the investment banking business, specifically the Investment Banking Continental...

  • Regional Compliance Officer Europe

    vor 2 Monaten

    Frankfurt am Main, Deutschland DBRS Vollzeit

    About the role: DBRS is currently seeking a Regional Compliance Officer for Europe. The Regional Compliance Officer - Europe, will be responsible for the implementation of the DBRS Morningstar Global Compliance Program within Europe. This is a position based in our offices in Madrid or Frankfurt, and reports to the Global Chief Compliance Officer...

  • Banking Compliance Officer Sanctions

    vor 2 Monaten

    Frankfurt am Main, Deutschland Flex Suisse GmbH Vollzeit

    Flex Suisse ist ein alternativer Rechtsdienstleister und führender Anbieter von Legal & Compliance Services in Deutschland, Schweiz und Liechtenstein. Zu unseren Partnern gehören führende Wirtschaftskanzleien, Großbanken und Industriekonzerne. Für unseren Kunden, eine Großbank, suchen wir ab sofort einen Compliance Officer im Sanktionsbereich (m/w/d)...

  • Kapitalmarkt Compliance Compliance Officer

    vor 1 Monat

    Frankfurt am Main, Deutschland Flex Suisse GmbH Vollzeit

    Flex Suisse ist ein alternativer Rechtsdienstleister und führender Anbieter von Legal & Compliance Services in Deutschland, Schweiz, Liechtenstein und Singapur. Zu unseren Partnern gehören führende Wirtschaftskanzleien, Großbanken und Industriekonzerne. Für unseren Kunden, eine Privatbank, suchen wir ab sofort einen Compliance Officer (m/w/d) für die...

  • Wphg-compliance Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Deutschland Flex Suisse GmbH Vollzeit

    Flex Suisse ist ein alternativer Rechtsdienstleister und führender Anbieter von Legal & Compliance Services in Deutschland, Schweiz, Liechtenstein und Singapur. Zu unseren Partnern gehören führende Wirtschaftskanzleien, Großbanken und Industriekonzerne. Für unseren Kunden, eine Privatbank, suchen wir ab sofort einen Compliance Officer (m/w/d) für die...

  • Compliance Officer

    vor 4 Wochen

    Frankfurt am Main, Deutschland Deutsche Börse Vollzeit

    **Learn. Develop. Grow. But always: Share value**: Join our international team that drives positive change, united by a spirit of openness and curiosity. We empower you to have an impact and to grow - personally and professionally. With us, you work at the heart of financial systems and evolve the way markets operate. We’re excited about the future because...

  • (Senior) Compliance Officer

    vor 2 Monaten

    Frankfurt am Main, Deutschland Indigo Headhunters Vollzeit

    Indigo Headhunters Frankfurt am Main, GermanyPosted 25 minutes ago Permanent Nach Vereinbarung Wir suchen für ein führendes internationales Immobiliendienstleistungsunternehmen einen (Senior) Compliance Officer (all genders) - mit dem Schwerpunkt Financial Security am Standort Frankfurt. Das Unternehmen steht in Deutschland seit über 60 Jahren für...

  • Senior Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Deutschland JLL Vollzeit

    JLL supports the Whole You, personally and professionally. We are looking for a Compliance Officer. The Compliance Officer supports the EMEA Head of Compliance across the entire JLL business (e.g. Agency, Investment, Project & Development Services) and all support functions (e.g. Finance, HR, IT Services, Procurement). This primary role is to primarily...

  • Banking Compliance Officer Sanctions

    vor 1 Tag

    Frankfurt am Main, Deutschland Flex Suisse GmbH Vollzeit

    Flex Suisse ist ein alternativer Rechtsdienstleister und führender Anbieter von Legal & Compliance Services in Deutschland, Schweiz und Liechtenstein. Zu unseren Partnern gehören führende Wirtschaftskanzleien, Großbanken und Industriekonzerne. Für unseren Kunden, eine Großbank, suchen wir ab sofort zwei Compliance Officer Sanctions (m/w/d) für 3- 6...

  • Banking Compliance Officer Sanctions

    vor 2 Monaten

    Frankfurt am Main, Deutschland Flex Suisse GmbH Vollzeit

    Flex Suisse ist ein alternativer Rechtsdienstleister und führender Anbieter von Legal & Compliance Services in Deutschland, Schweiz und Liechtenstein. Zu unseren Partnern gehören führende Wirtschaftskanzleien, Großbanken und Industriekonzerne. Für unseren Kunden, eine Großbank, suchen wir ab sofort zwei Compliance Officer Sanctions (m/w/d) für 3- 6...

  • Senior Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Deutschland Leonteq AG Vollzeit

    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...

  • Compliance Officer Compliance Governance

    vor 2 Monaten

    Frankfurt am Main, Deutschland KION GROUP AG Vollzeit

    Für unsere Abteilung Corporate Compliance im Headquarter in Frankfurt am Main (Flughafen/Gateway Gardens) suchen wir Sie zur Verstärkung des Teams als Compliance Officer Compliance Governance (m/w/d) im Rahmen einer Elternzeitvertretung befristet bis 2/2025. **What we offer**: - **in Unternehmen mit Zukunft**:Schon heute beschäftigen wir als...

  • Compliance Product Officer

    Vor 7 Tagen

    Frankfurt am Main, Deutschland Citi Vollzeit

    **Job Title**:Compliance Product Officer - Germany **Business**:Compliance Risk Management **Division: ICRM** **Officer Title: VP** **C-Grade: C13** **Location: Frankfurt** **Legal Entity: CGME** **Responsibilities**: - Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for...