You 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.

• Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions
• Review financial promotions. 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  

• Strong general knowledge of U.K regulatory environment
• Experience using sanctions screening and adverse media software
• Detailed knowledge of the CDD requirements for onboarding complex and high-risk clients
• Knowledge of financial crime prevention and SAR/STOR drafting and/or submission
• Excellent analytical, problem-solving and decision-making skills
• Strong written and verbal communication skills
• Ability to prepare clear and concise management information reports.
• Proficiency in Microsoft Office suite
• Confidence to deal with colleagues at all levels of the organisation and get buy-in in order to enhance processes and procedures
• Thorough knowledge of CASS, EMIR, MiFID, FATCA
• Educated to degree level
• Strong understanding of Swissquote’s product offering; experience with a range of financial products, including physical and synthetic brokerage, as well as digital assets
• (Preferred) Professional qualifications in compliance management preferred, such as CISI or ICA