Compliance Officer (based in Lisbon or Frankfurt)

WHO WE ARELeonteq 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 ROLEWe are looking for a Compliance Officer to support the local Compliance Team located in Frankfurt am Main or Lisbon. This role requires an individual with good management skills, innovative ideas and a pro-active and solution orientated mindset. The successful candidate will collaborate closely with the local Head of Compliance, the Compliance Officer in Frankfurt, the Compliance Officers in the sub-ordinated branches and the head office in Zurich.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 DOSupport the Head of Compliance in developing and maintaining a robust and harmonized compliance framework across the EU, focusing on GwG, WpIG, MaRisk, MaComp and MiFID II.Ensure regulatory compliance with key regulations.Develop and maintain Compliance related Policies, Procedures and Manuals.Ensuring compliance with compliance processes and guidelines and execution of related risk-based controls.Support client on-boarding activities.Support regulatory required Compliance reporting to the local Management Board and the head office in line with regulatory requirements.Perform the assessment of the regulatory screening activities as per MaRisk.Perform regular risk-based monitoring activities and define risk mitigating measures.Act as key point of advisory for Financial Crime and Compliance aspects. This may include providing support for staff training, providing day-to-day assistance for staff, and participating in the establishment of new policies and procedures within the investment services enterprise.Act as key contact for internal and external auditors (in coordination with the local Head of Compliance/MLRO).WHAT YOU'LL NEEDBachelor’s degree in Legal or a related field.Proven track record of 4+ years in Compliance/Financial Crime roles within the financial service industry/audit firms.Good knowledge of EU financial regulations and directives, including GwG, WpIG, BaFin AuA, MaRisk. Additional knowledge of regulation such as MiFID II, MaComp, WpHG, PRIPS, would be beneficiary.Experience in designing and implementing Compliance programs and Policies that adapt different regulatory requirements.Good communication skills and interpersonal skills, with a demonstrated ability to collaborate effectively across different regions.Advanced analytical and problem-solving capabilities, compared with the ability to excel a fast- pace environment.Experience in interacting with EU regulators and internal & external auditors.Fluency in German and English.NICE TO HAVEAdditional language skills.WHY YOU'LL LOVE WORKING HEREExperience the dynamics of a leading fintech companyBe part of a multinational team / department spread across different locationsWork in modern facilities at an exceptional locationHybrid work system: home office and office