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 23.1 billion and posted total operating income of CHF 456.4 million in 2022.
As of 31 December 2022, Leonteq's shareholders' equity totalled CHF 870.0 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
- Drafting and review/update of Financial Crime & Compliance Risk Assessments
- Develop and execute Compliance and Financial Crime monitoring program and maintain a sufficient & efficient control framework
- Steer the implementation and review/update of local Financial Crime and Compliance Policies & Procedures (in particular for KYC/AML Policies and relevant standing orders & the offering of investment services/products) to ensure regulatory requirements and ensure adherence to Group Policy requirements
- Steer & foster adherence to local and European KYC/AML, MIFID II legal requirements and act as advisor to the local Branch Management, Central Compliance and the front office colleagues
- Act as local MLRO and local Compliance Officer for Leonteq Securities (Europe) GmbH Milan Branch (registered with Bank of Italy & Consob)
- Perform client on-boarding (CDD/KYC), regular/ad-hoc reviews and perform high risk client (HRC) on-boarding
- Control on local record keeping duties for AML purposes as set by Bank of Italy
- Compilation and preparation of the necessary documentation for internal and external audits; act as local key contact for Financial Crime and Compliance audits
- Act as key contact for local regulators (e.g.
Consob, Bank of Italy) prosecution offices and the Unità di Informazione Finanziaria della Banca d'Italia (Italian FIU)
- Regulatory monitoring/screening of local and EU regulatory developments, assess relevance and steer (if required) or perform the implementation
- Filing of Suspicious Activity Reports (SARs) with the local FIU
- Case management if required, incl.
internal and external investigations (e.g., AML, Fraud, Insider Dealing etc.
)
- Management of complaints
- Check results of MIFID II product governance tests on products offered by the Branch
- Maintaining and updating the AML-(Online)Training for staff and perform (if required) local classroom training
- Communicating with senior management in relation to the risks identified in the company and advising on appropriate actions that could be taken
What you'll need
- Law or Compliance degree (or a similar degree), at least 5 years of Compliance experience in the Italian financial sector
- Extensive knowledge and experience in
- Italian AML and Compliance related rules and regulation
- MiFID/MiFIR provisions (including Product Governance/Target Market/Cost & Charges/Pre-Trade Transparency) and the related Italian laws and regulations
- Market Abuse Directive (MAD) and Market Abuse Regulation (MAR) and other market protection regulation on both European and Italian level
- Experience with both automatized and standardized AML-tools (onboarding and monitoring) and manual processes
- Proficient in local legal and regulatory requirements, knowledge of Swiss and European requirements
- Active interest in capital markets and the respective regulations
- Dedicated and responsible personality with strong team-player attitude
- Ability to work independently and to take initiative
- Fluency in Italian and English
Nice to have
- Knowledge of other European languages (in particular German)