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Investment Compliance Officer

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
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