Compliance Associate

Company Description

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 team work, leadership and responsibility.

We have a fantastic opportunity for a motivated individual who is looking for a position within a high performing and growing organization, to take ownership of the full compliance programme for the business and build effective, long-term partnerships.

Job Description

You will be part of the Compliance team and will be responsible for undertaking compliance monitoring and day-to-day compliance activities; helping to ensure that the Company complies with all regulatory requirements, including global tax compliance and financial crime legislation.

• Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions
• Review financial promotions. Ensure staff in business departments are aware of, and adhere to, the Company’s policies on financial promotions
• Ensure the application of the following processes:
  • AML/KYC processes
  • Sanction and PEP screening
  • Global tax compliance legislation (AEOI/FATCA)
• Review customer complaints, claims and litigation, investigate where appropriate, and work with staff in business departments to ensure compliance with Company policies on customer complaints
• Have day-to-day awareness of legal risks applicable to the business and work with Group Legal function and external counsel to ensure smooth and timely delivery of legal matters
• Provide legal, regulatory & compliance advice to the business
• Maintain awareness of legal and regulatory developments; providing analysis and assessment where required
• Promote a culture of compliance within the firm to minimise risk and ensure regulatory standards and personal responsibilities are understood by all staff

• Assist with the internal compliance training programme including the organisation and delivery of online training modules and ad hoc face-to-face training where appropriate  

Qualifications

• Strong general knowledge of U.K regulatory environment
• Experience using sanctions screening and adverse media software
• Detailed knowledge of the CDD requirements for onboarding complex and high-risk clients
• Knowledge of financial crime prevention and SAR/STOR drafting and/or submission
• Excellent analytical, problem-solving and decision-making skills
• Strong written and verbal communication skills
• Ability to prepare clear and concise management information reports.
• Proficiency in Microsoft Office suite
• Confidence to deal with colleagues at all levels of the organisation and get buy-in in order to enhance processes and procedures
• Thorough knowledge of CASS, EMIR, MiFID, FATCA
• Educated to degree level
• Strong understanding of Swissquote’s product offering; experience with a range of financial products, including physical and synthetic brokerage, as well as digital assets
• (Preferred) Professional qualifications in compliance management preferred, such as CISI or ICA

Additional Information

SQ3