Swissquote Hiring for Compliance Assistant at London ECM Full Time

Since 1996, we challenge the code to deliver innovative services & products that make financial opportunities accessible to everyone.

We are now the Swiss leader in online trading and we deliver our services to + 340’000 clients who can trade over 3 million products through performant and secured platforms.
As well as various online trading products (stocks, bonds, funds, derivative products, cryptocurrencies…), we provide Forex, Robo-Advisory and Mortgages solutions.

Join our +800 employees all over the world to accelerate your career in fast-moving and rock-solid company! We keep on growing and despite the COVID-19 pandemic, we were able to deliver exceptional results in 2020.

The role holder 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.

The person will be reporting to the Head of Compliance.

As a Compliance Assistant, you will:

• Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions;
• Review financial promotions, company’s and partner’s website and provide approval. 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
• Preferred: Assist with the translation of ad hoc documents in Italian or Spanish language as and when needed by the Compliance Department

• Educated to Degree level, ideally with, or working towards, industry qualifications (e.g. CISI, ICA)
• At least 1 year Compliance experience in a Financial Services company and/or qualified lawyer with 2-4 years post qualification experience gained in a law firm or in-house and strong technical legal and regulatory
• Knowledge of rules (including MiFID II) applying to FCA regulated firms dealing with OTC derivatives;
• Knowledge of investment/trading industry; and
• Good awareness of GDPR and Data Protection legislation
• Fluent English and Spanish, both written and spoken.