Deputy Team Head Compliance Coverage Switzerland

Leonteq AG; Zürich; Vor Ort; CHF 140.000 - 190.000; Vollzeit

Zusammenfassung

Leonteq AG, a Swiss fintech and leading marketplace for structured investment solutions, seeks a Deputy Compliance professional to support day-to-day oversight and delegated responsibilities.

You will provide advisory support on Swiss and European regulations, conduct reviews, maintain records, and collaborate with Front Office, Legal, Risk and Operations to drive governance and remediation initiatives.

Qualifikationen

• Master’s degree in Economics, Business Administration, Law/Compliance/Regulatory or equivalent.
• 7+ years’ experience in Compliance, Internal Audit, Risk Management, or related control function within global financial services.
• In-depth knowledge of capital markets and related regulations (FIDLEG/ FINIG, MiFIDII, EMIR, FinSA/ FinIA).
• Strong understanding of money markets, fixed income, interest rates and FX.
• Proven experience in trading, hedging, market risk and P&L management.
• Strong analytical, numerical and decision-making skills.
• Ability to work under pressure and tight deadlines.
• Strong communication and relationship-management skills.
• Commercial, proactive and entrepreneurial mindset.
• First team leadership experience
• Strong Excel skills; treasury/trading systems experience is an advantage.

Aufgaben

• Act as Deputy to the relevant Compliance function/lead, providing support in day-to-day oversight of compliance activities.
• Interact with Sales & Trading to assess relationships, conduct reviews, ensure compliance with regulatory requirements and internal policies.
• Provide compliance advisory support on Swiss and European regulatory requirements including FIDLEG/ FINIG, MiFIDII, EMIR, FinSA/ FinIA.
• Perform compliance reviews and monitoring, identify risks, contribute to reporting processes.
• Maintain compliance records, databases and document management systems with accuracy.
• Review and enhance compliance templates, disclosures, policies, procedures, and standard docs.
• Prepare assessments, risk analyses, memoranda and advisory notes for stakeholders.
• Conduct regulatory analysis and monitor developments, assess impact on business.
• Collaborate with Front Office, Operations, Legal, Risk and others for guidance and support.
• Support internal audits, regulatory inspections, remediation programs and projects.
• Contribute to development of the firm’s compliance framework, controls and governance.
• Represent the team internally and externally when required; act as contact point in absence of the Compliance lead.

Kenntnisse

Regulatory knowledge

Capital markets knowledge

Leadership experience

Analytical skills

Stakeholder management

Excel skills

Ausbildung

Master’s degree in Economics, Business or Law/Compliance

Tools

Excel

Jobbeschreibung

WHO WE ARE

Leonteq is a Swiss fintech company and a leading marketplace for structured investment solutions. Combining capital markets expertise with proprietary technology, the company provides access to a wide range of structured investment opportunities.

Entrepreneurial thinking is central to how we work. Expertise is valued, ownership is encouraged, and employees are empowered to actively shape their areas of responsibility. Innovation and continuous improvement are part of daily life, making Leonteq a dynamic and collaborative place to grow your career.

About the role

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 do

• Act as Deputy to the relevant Compliance function/lead, providing support in the day-to-day oversight of compliance activities and assuming delegated responsibilities as required
• Interact with the Sales & Trading division, assess existing and prospect business relationships, conduct ad hoc and periodic process reviews, ensure compliance with applicable regulatory requirements and internal policies
• Provide compliance advisory support on Swiss and European regulatory requirements, including FIDLEG/ FINIG, MiFIDII, EMIR, FinSA/ FinIA, and other relevant regulations
• Perform compliance reviews and monitoring activities, identify potential risks, and contribute to management reporting and regulatory reporting processes
• Maintain compliance records, databases, and document management systems, ensuring accuracy, completeness, and timely updates
• Review and enhance compliance-related templates, disclosures, policies, procedures, and standard documentation used across Swiss business activities
• Prepare compliance assessments, risk analyses, internal memoranda, and advisory notes for business stakeholders and senior management
• Conduct regulatory analysis and monitor legal and regulatory developments, assessing their impact on the business and supporting implementation activities
• Partner closely with Front Office, Operations, Legal, Risk, and other stakeholders to provide compliance guidance and support business initiatives
• Support internal audits, regulatory inspections, remediation programs, and compliance projects, ensuring timely and effective execution of action plans
• Contribute to the development and enhancement of the firm’s compliance framework, controls, and governance processes
• Support the Compliance function in representing the team internally and, where required, externally, and act as a point of contact for delegated matters in the absence of the relevant Compliance lead

What you’ll need

• Master’s degree in Economics, Business Administration, Law/Compliance/Regulatory or equivalent
• 7+ years’ experience in Compliance, Internal Audit, Risk Management, or a related control function within the global financial services industry
• In-depth knowledge of capital markets and related regulations (FIDLEG/ FINIG, MiFIDII, EMIR, FinSA/ FinIA)
• Strong understanding of money markets, fixed income, interest rates and FX
• Proven experience in trading, hedging, market risk and P&L management
• Strong analytical, numerical and decision-making skills
• Ability to work under pressure and tight deadlines
• Strong communication and relationship-management skills
• Commercial, proactive and entrepreneurial mindset
• First team leadership experience
• Strong Excel skills; treasury/trading systems experience is an advantage

Nice to have

• Additional language skills

Why you’ll love working here

• Experience the dynamics of a leading fintech company
• Insight opportunities across all departments to understand and build know-how in the mechanics of the structured investment product value chain