Compliance Officer

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 27.6 billion and posted total operating income of CHF 238.5 million in 2024. As of 31 December 2024, Leonteq's shareholders' equity totalled CHF 803.8 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.

Founded in 2007, Leonteq today has offices and subsidiaries in 13 countries, through which it serves over 50 markets. The company employs over 500 professionals from more than 50 nationalities around the world and brings a young, dynamic and diverse workforce to the global fintech market. Leonteq's Portugal branch opened in October 2021 and is part of Leonteq's initiative to support business growth with the employment of up to 100 designated roles along the entire value chain.

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

Operational Tasks:

• AML Transaction Monitoring
• Assessment of Worldcheck hits
• Performance of client reviews for Swiss clients
• Review of higher risk counterparties – incl. cases submitted by local compliance officers – and preparation for the weekly Risk Committee
• Providing preparatory first review and assessment of new higher risk client onboardings before Head of FCC sign-off
• Handling of KYC / Due Diligence Requests from Leonteq counterparties
• Preparation and documentation of Investigation Memos and No-AML reports
• Handling of Gifts & Entertainment Requests and Controls
• Review and compilation of Policies and Guidelines

Training:

• Content creation and monitoring of Compliance Trainings

Reporting Tasks:

• Perform internal Risk Controls
• Reporting and monitoring (KPIs, KRIs, Training Performance, Risk Controls, Reviews
• Immediate escalation of blocking points and/or material issues

Miscellaneous:

• Participation and assistance in internal and external audit requests.
• Identifying potential risks and suggest solutions aligned with industry best practices.
• Enhancement of existing processes
• Continuous enhancement and update of team manuals and operational procedures.
• Participation in Project and Department Meetings, Compliance calls, etc.

What you'll need

• University degree in law or economy
• Experience in Financial Crime, Regulatory Development, Governance, Training / Projects & Reviews
• Fluent in English

Nice to have

• Proficient in MS Office (esp. Excel)
• Team player

Why you'll love working here

• Experience the dynamics of a leading Fintech company
• Be part of a multinational team / department spread across different locations
• Work in modern facilities at an exceptional location
• Hybrid work system: home office and office
• Insight opportunities across all departments to understand and build know-how in the mechanics of the structured investment product value chain