7 compliance legal jobs found in Gland

We are looking for a  Legal Operations Officer  to join our Legal Department at Swissquote Bank Ltd at its headquarters in Gland, Switzerland. This role is a multi-disciplinary function that helps the Legal Department in optimizing the delivery of its services. Your tasks will be diverse and include for example the following: Handling requests from the various judiciary authorities, such as state attorneys or FINMA (including clarifications within the bank and the correspondence with the authorities) Management of data bases used by the Legal Department, participation in knowledge management projects Supporting the Legal Officers in the management of larger various cases if necessary Handling customer information requests (data protection) Handling written correspondence with third parties Various other tasks, for ex. coordination of legal translations Qualifications You are looking for a position with an occupancy rate of 100% You have obtained an university degree...

• Review of client’s account opening requests (e.g. corporate structures such as active / passive entities) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB, as well as tax compliance aspects such as FATCA and CRS) • Review of client’s account modification requests (e.g. change of authorized signatories, directors, correspondence address etc.) • Preparation and filing of clients’ files • Provide administrative support to the corporate clients’ onboarding team • Contribution to drafting of internal memos and procedures • Participation in key regulatory projects • Support and advice to the Front line and management Qualifications • Good knowledge of banking documentation • Bachelor or Master in Laws or in Economics • 1-2 years of experience in the financial industry (Big Four or Bank) • Eager to learn and ready to take on challenges • Ability to multi-task and work under pressure • Analytical and methodological approach • Excellent organisation skills • Excellent...

The Compliance Operating Head is responsible for overseeing the day-to-day (Business-as-Usual, BAU) activities of the Compliance Department. This role supports the Group Head of Compliance by ensuring that routine compliance operations and processes are executed efficiently, consistently, and in alignment with regulatory expectations. The ideal candidate will be highly autonomous, solution-oriented, and possess strong, hands-on experience in compliance operations, with the ability to analyze complex cases and exercise sound judgment in decision-making. Key Responsibilities: BAU Oversight: Oversee compliance operations, including onboarding and monitoring.   Process Management: Ensure smooth execution and continuous improvement of compliance workflows and controls.   Tracking: Track the completion and quality of compliance deliverables, Escalate issues as needed.   Documentation & Reporting: Organize accurate records of compliance activities,...

As a Compliance Officer, you will be part of the Compliance Department and work within the Investigations Team. The team is growing and we are looking for different types of seniority profiles whose main tasks will be: Manage complex investigations and conduct legal clarifications Write and submit reports to Financial Intelligence Unit (MROS) Communication with MROS as well as other Swiss law enforcement authorities Support the team on a daily basis, including trading for junior profiles Optimization of internal processes, review and drafting of internal guidelines Support and advice to the Front line and Management Qualifications Graduated in Laws or in Economics (a Certificate in Compliance Management is a very strong asset) Minimum 5 years of experience in a Compliance Department in the financial industry (investigations and MROS reports is a very strong asset) Knowledge of Swiss law Excellent command of English and French; German ,  Russian, or Arabic would be...

As a Deputy Compliance Officer for a temporary position of 6 months, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, and we are looking for different types of seniority profiles whose main tasks will be: Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB) Conducting enhanced due diligence analyses and declassifications Drafting formal compliance assessments, including the ability to manage multiple complex cases simultaneously Providing support and advice to the front office and management   Depending on the level of seniority, the following tasks may also be required: Assisting the Manager in supporting the team daily, including providing responses to questions, conducting second-level reviews of team members’ assessments, and serving as a trusted role model in terms of...

As a Deputy Compliance Officer for a temporary position of 8 months, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, and we are looking for different types of seniority profiles whose main tasks will be: Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB) Conducting enhanced due diligence analyses and declassifications Drafting formal compliance assessments, including the ability to manage multiple complex cases simultaneously Providing support and advice to the front office and management   Depending on the level of seniority, the following tasks may also be required: Assisting the Manager in supporting the team daily, including providing responses to questions, conducting second-level reviews of team members’ assessments, and serving as a trusted role model in terms of...

As a Compliance Officer, you will be part of the Legal & Compliance Department and work in the Monitoring Team of the Compliance Service. You will have multiple tasks, which include: Carry out reviews of transactions alerts qualified as High Risk Transactions, in particular from an AML/CTF standpoint Conduct enhanced due diligence and transactional behavior analysis Perform in-depth clarifications to clients and draft HRT memos Analysis and validation from a compliance and AML perspective of cash and security transfers Participation in key regulatory projects Qualifications Bachelor or Master Degree in Laws or Economics 3-5 years of experience in a Compliance Department in the financial industry (experience in Monitoring is a very strong asset) Good knowledge in Swiss banking and financial laws, especially in anti-money laundering regulations Excellent command of English and French (German is a strong asset) Analytical and methodological approach Proactivity...