Swissquote is hiring a

Junior Compliance Officer

San Ġiljan, Malta
Full-Time

We are seeking to recruit a Junior Compliance Officer.

Your responsibilities

Operating within the legal and compliance framework, ensuring compliance with all regulatory requirements under a Cat4A licence, Cat2 licence, Custody of Pension Schemes Regulations and respective MiFID, AIFMD, UCITS, FATCA, CRS, etc.:

  • Preparing various regulatory submissions (MFSA, FIAU, CBM, IRD, etc.)
  • Reporting to the Head, Legal and Compliance and Group Chief Legal Officer
  • Assistance in the Risk Management framework
  • Assistance in the implementation and maintenance of Group Policies and Procedures within SQFSM
  • Assistance in monitoring and reporting on Compliance and AML within SQFSM
  • Assistance in overseeing internal control in compliance with Group Policies and Guidelines-
  • Assistance in complaint handling in compliance with Group Policies and Guidelines
  • Handling Client on-boarding (Account Opening, AML & KYC
  • Assistance in due diligence oversight of Fund Clients
  • Assistance in drafting of internal Compliance Reports
  • Presentation of internal reports analysing future new Directives, Rules & Regulation and impact on SQFSM operations and services, if any.
  • Prior compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (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 prioritise workload.
  • Strong work ethic, professionalism and deep commitment to meet the highest standards required by the role and Swissquote Group.

SQ1

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