Overview
As Head of Compliance for Leonteq Securities (Europe) GmbH, you will lead a European-wide compliance function and a team of six, ensuring regulatory integrity across branches in London, Paris, Milan, and Lisbon. You will act as MLRO and senior regulatory advisor, shaping the local and European compliance programme and serving as the main contact for regulators and auditors. You will build sustainable policies, monitor risk, and align regulatory actions with the company’s entrepreneurial culture. Your work will enable compliant growth across Europe while maintaining high standards of governance.
Verantwortungsbereiche
- Lead the European Compliance function for Leonteq Securities (Europe) GmbH and its European branches
- Manage a team of six Compliance Officers and report to Global Head of Compliance and local Management Board
- Act as MLRO, WpHG Compliance Officer, Central Unit, Single Safeguarding Officer and MaRisk Officer
- Develop, maintain, and enhance local and European Compliance programme; ensure effective execution
- Serve as primary contact for regulators and auditors
- Create and maintain policies to identify, assess, and mitigate regulatory risks; ensure regulatory adherence
- Harmonise compliance activities across European branches
- Provide strategic and operational support to Global Head of Compliance and Group Compliance
- Advise senior management on risks and regulatory developments and remediation measures
- Lead risk-based ongoing Compliance monitoring across business activities
- Advise on sales/regulatory matters, KYC/KYD, regulatory documentation, conduct rules, and internal policies
- Prepare and publish quarterly Compliance Report
Zentrale Anforderungen
- 5+ years of compliance experience in the German financial sector
- Previous appointment as MLRO and Compliance Officer
- Experience as manager in a cross-border matrix organization
- Deep knowledge of German/EU Financial Crime Laws and Regulation
- Knowledge of German/EU Market Conduct Laws and Regulation
- Knowledge of German/EU Client Protection Laws and Regulation
- Knowledge of German/EU Client Onboarding and Documentation Laws
- Knowledge of German Securities trading act (WpHG)
- Interest in capital markets and financial products
- Dedicated, responsible, team-player attitude
- Ability to work independently and take initiative
- Fluency in German and English
- Nice to have knowledge of other European languages
- leadership of diverse teams
- strong communication with senior stakeholders
- proactive and independent
- KYC/KYD processes
- regulatory documentation
- risk assessment and monitoring
Head of Compliance Leonteq Securities (Europe) GmbH Arbeitgeber: Leonteq
Als Arbeitgeber bietet unser Unternehmen eine dynamische und innovative Arbeitsumgebung, in der Sie als Secondary Market Trader nicht nur Ihre Fähigkeiten im Handel mit strukturierten Produkten unter Beweis stellen können, sondern auch aktiv zur Weiterentwicklung unserer Handelsinfrastruktur beitragen. Wir fördern eine Kultur der Zusammenarbeit und des Wachstums, in der Sie durch kontinuierliche Weiterbildung und enge Zusammenarbeit mit verschiedenen Teams Ihre Karriere vorantreiben können. Zudem profitieren Sie von flexiblen Arbeitsmodellen und einem starken Fokus auf die Einhaltung regulatorischer Standards, was Ihnen ermöglicht, in einem verantwortungsvollen und unterstützenden Umfeld zu arbeiten.
