Investment Compliance Officer

Building the bank of tomorrow takes more than skills. 

It means combining our differences to imagine, discuss, code, develop, test, learn… and celebrate every step together. Share our vibes? Join Swissquote to unleash your potential.

We are the Swiss Leader in Online Banking and we provide trading, investing and banking services to +500’000 clients, through our performant and secured digital platforms.

Our +1000 employees work in a flexible way, without dress code and in multicultural teams. 

By having a huge impact on the industry, they are growing their skills portfolio and boosting their career in a fast-pace environment

We are all in at Swissquote. As an equal opportunity employer, we welcome candidates from all backgrounds, experiences and perspectives to join our team and contribute to our shared success.

Are you all in? Don’t be shy, apply!

• Conduct MiFID reviews as part of the overall compliance monitoring programme
• Cooperate with the CCO in the analysis and handling of investment compliance matters
• Respond swiftly and effectively to investment compliance issues
• Carry out second-line reviews of the investment product universe
• Carry out regular reviews of order handling and market transactions
• Handling of market abuse alerts
• Preparation of Suspicious Transaction and Order Reports for the CSSF
• Best execution trade monitoring
• Assistance in the control of regulatory reporting, e.g., MiFIR/EMIR
• Initiate internal investigations with a degree of effective autonomy
• Draft reports on the status of investment compliance within the Bank

• Fluent in both written and spoken English. French or German considered as being a significant advantage
• Minimum of five years’ experience in the Luxembourg financial sector
• Understanding of MiFID rules and how they impact an EU credit institution or regulated investment firm
• Sound understanding of financial markets, inc. complex products
• Knowledge of regulatory environment for investor protection, inc. PRIIPs Regulation
• Understanding account opening and maintenance requirements, including corporate and complex structures
• Ability to work autonomously and with independence to ensure controls objectivity
• Ability to challenge, improve and document processes and procedures
• Strong communication skills (both verbal and written) to provide feedback/coaching and technical awareness across teams
• Ability to identify issue root causes and recommend changes to procedures to protect the Bank’s reputation, optimise business efficiency

• A comprehensive benefits package including annual performance bonus, occupational pension scheme, share plan, concierge services, 34.5 paid holidays, and more
• A great work environment in our offices located at Luxembourg’s Kirchberg financial district. Complementary fruit, tea and coffee
• Opportunities to develop your knowledge of financial products and markets including equities, funds, derivatives, cryptocurrencies and more

SQ1