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Investment Compliance Officer
Swissquote Bank EuropeLuxembourg, Luxembourg, Luxembourg
Il y a 1 jour
Description de poste
Job Description
Conduct MiFID reviews as part of the overall compliance monitoring programme
Cooperate with the CCO in the analysis and handling of investment compliance matters
Respond swiftly and effectively to investment compliance issues
Carry out second-line reviews of the investment product universe
Carry out regular reviews of order handling and market transactions
Handling of market abuse alerts
Preparation of Suspicious Transaction and Order Reports for the CSSF
Best execution trade monitoring
Assistance in the control of regulatory reporting, e.g., MiFIR / EMIR
Initiate internal investigations with a degree of effective autonomy
Draft reports on the status of investment compliance within the Bank
Qualifications
Fluent in both written and spoken English. French or German considered as being a significant advantage
Minimum of five years’ experience in the Luxembourg financial sector
Understanding of MiFID rules and how they impact an EU credit institution or regulated investment firm
Sound understanding of financial markets, inc. complex products
Knowledge of regulatory environment for investor protection, inc. PRIIPs Regulation
Understanding account opening and maintenance requirements, including corporate and complex structures
Ability to work autonomously and with independence to ensure controls objectivity
Ability to challenge, improve and document processes and procedures
Strong communication skills (both verbal and written) to provide feedback / coaching and technical awareness across teams
Ability to identify issue root causes and recommend changes to procedures to protect the Bank’s reputation, optimise business efficiency
Additional Information
A comprehensive benefits package including annual performance bonus, occupational pension scheme, share plan, concierge services, 34.5 paid holidays, and more
A great work environment in our offices located at Luxembourg’s Kirchberg financial district. Complementary fruit, tea and coffee
Opportunities to develop your knowledge of financial products and markets including equities, funds, derivatives, cryptocurrencies and more