263 compliance legal jobs found

The South African entity of Swissquote is a financial services provider supporting independent asset managers, acting as a custodian and broker, and offering financial intermediaries a dedicated platform to manage their clients and process stock market orders. Our focus is on international/offshore investments. We are a small, dynamic team looking for a committed addition to join our journey.  We are seeking a Compliance Assistant to join the Corporate Onboarding team at Swissquote South Africa (Pty) Ltd.  You will be involved in a variety of administrative and compliance-related tasks, including:  Compiling account-opening documentation for complex structures such as trusts and companies and providing it to prospective clients, including international trust and fiduciary firms,  Conducting online due diligence searches using specialist tools as well as open-source platforms,  Providing administrative support to the Compliance team,  Assisting with various...

Perform comprehensive KYC analysis during client onboarding, including document assessment, risk evaluation, name screening, and investigation of sanctions, PEPs, and adverse media hits. Ensure ongoing AML/KYC compliance by conducting periodic reviews, EDD for high-risk customers, and maintaining up-to-date KYC records. Act as the primary point of contact for sales teams and back offices on AML/KYC matters, providing support and guidance as needed. Prepare and maintain accurate documentation for internal and external audits, regulatory examinations, and compliance reporting. Support the Compliance Department in updating procedures, participating in projects, and staying current with regulatory developments and industry best practices. Review life insurance contract transactions from an AML/KYC compliance perspective and contribute to the continuous improvement of compliance processes. Escalate urgent and sensitive matters appropriately, ensuring adherence to internal...

  Lead the Bank's KYC onboarding programme, acting as the main point of contact for sales teams and back office on all KYC-related matters. Manage a team of KYC & AML specialists, overseeing the onboarding of new clients and ensuring compliance with AML/KYC regulations and policies. Assess and challenge documentation received, perform quality controls on name screening and adverse media checks, and investigate any blacklist/sanctions hits. Identify and evaluate KYC risks, review customers' approval requests, and ensure Enhanced Due Diligence is conducted on high-risk customers. Support decision-making processes of client onboarding committees and analyse suspicious activities and AML red flags. Prepare for and participate in internal and external audits and regulatory investigations related to AML compliance. Keep abreast of regulatory developments and industry best practices, recommending changes to policies, procedures, and controls as necessary. Draft and update...

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,...

We are looking for a mid-level Legal Counsel seeking new professional challenges in an international business environment. The ideal candidate will combine strong legal expertise with a pragmatic approach to enable commercial growth, manage risk, and support business teams in achieving strategic goals. Expectations and tasks: Drafting, reviewing, negotiating, and advising on a broad range of commercial agreements, including software development, SaaS, licensing, distribution, partnership, procurement, and service contracts; Acting as a trusted business partner to sales and operations teams, providing clear, solution-oriented legal advice, Driving contract negotiation strategy and ensuring alignment with the company’s commercial and risk objectives, Advising on compliance, corporate governance, intellectual property, AI regulation and data protection (GDPR) with a focus on business enablement rather than restriction, Interpretation of contract requirements, obligations, and...

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...

Located in the reputable Dubai International Financial Center (DIFC), Swissquote MEA Ltd, a subsidiary of Swissquote Bank Ltd, is regulated by the Dubai Financial Services Authority (DFSA). It provides an array of banking, wealth and private banking services across the Middle East and Asia. Prepare, review and submit digital account applications, physical account opening forms (individual, joint, corporate accounts), partnership agreements (Introducing Brokers & Money Managers) and carry-out customer due diligence reports (background-checks and cross verifying the client’s/company’s identity, company/personal profile, its nature and net-worth), Handles complex onboarding cases including clients with complex structures, financial institutions, asset managers, and PEPs, Attends to the sales’ requests/queries regarding their clients and the required KYC documents, Coordinate and follow up with Compliance in Switzerland on account-opening clarifications and outstanding...

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...

We are looking for a dedicated and detail-oriented Compliance Officer to join our team. The ideal candidate will have excellent attention to detail, strong organizational abilities, and a solid understanding of back-office processes. If you’re eager to make an impact within a dynamic team and a great company, we invite you to apply for the role today!  Your main responsibilities are: Conduct internal compliance risk assessments and report relevant monitoring findings and recommendations for correction of any deficiencies to the Head of Compliance.  Provide support in the design and development of the internal practices, processes, procedures, and controls to meet the compliance requirements of CySEC and other applicable rules and regulations.  Handling of Account Opening procedures: High risk individuals and corporates (clients and partners). Monitoring of client transactions, closely collaborating with relevant internal departments particularly with the...