Head of Compliance Leonteq Securities (Europe) GmbH

Head of Compliance Leonteq Securities (Europe) GmbH Frankfurt Legal & Compliance 80-100%

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

• Overall responsibility for the Compliance function of Leonteq Securities (Europe) GmbH, including its branches in London, Paris, Milan, and Lisbon
• Leadership of a team of six Compliance Officers, with a dual reporting line to the Global Head of Compliance of Leonteq Group in Zurich and the Management Board of Leonteq Securities (Europe) GmbH in Frankfurt
• Acting as appointed local Money Laundering Reporting Officer (MLRO), WpHG Compliance Officer, Central Unit, Single Safeguarding Officer, and MaRisk Officer
• Responsibility for the development, maintenance, and enhancement of the local and European Compliance programme, including its effective execution and implementation
• Serving as the primary Compliance contact for regulatory authorities and internal and external auditors
• Developing, implementing, maintaining, and enhancing policies and procedures to identify, assess, manage, and monitor regulatory and compliance risks, while ensuring adherence to applicable regulatory requirements
• Ensuring a consistent and harmonised approach to Compliance activities across all European branches of the company
• Providing strategic and operational support to the Global Head of Compliance and Group Compliance on regulatory, governance, and risk-related matters
• Advising senior management and acting as a trusted advisor to the local Management Board and other senior stakeholders on identified risks, regulatory developments, and appropriate remediation or mitigation measures
• Leading the execution of ongoing, risk-based Compliance monitoring activities covering all key areas of the company’s business activities
• Advising on and monitoring sales and distribution activities, licensing and other regulatory matters, KYC/KYD requirements and processes, regulatory documentation, rules of conduct, and relevant internal policies
• Preparing and publishing the quarterly Compliance Report in accordance with applicable regulatory and internal requirements

What you'll need

• At least 5 years of Compliance experience in the German financial sector
• Previous appointment as MLRO & Compliance Officer
• Experience as manager in a cross-border matrix organization
• Extensive knowledge and experience in
• German/EU Financial Crime Laws and Regulation
• German/EU Market Conduct Laws and Regulation
• German/EU Client Protection Laws and Regulation
• German/EU Client Onboarding and Documentation Laws and Regulation
• German Securities trading act (WpHG)
• Interest/knowglege in capital markets and financial products
• Dedicated and responsible personality with strong team-player attitude
• Ability to work independently and to take initiative