11 compliance legal jobs found in Gland

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 the Associated-Director in the Compliance department, you will be in charge of the Corporate Onboarding  team. Reporting directly to the Vice-Director, you will be in charge of the supervision of the operational activities and the people management in accordance with your senior management. Team Management: Leading and supporting a team of several people: Fostering a positive work atmosphere where employees feel motivated, valued, and connected to the team and the organization. Promoting collaboration, trust, and cohesion among team members. Addressing any potential conflicts among team members to your senior management and/or HR Partner Supporting employee growth through training, mentorship, coaching, and advancement opportunities. Hiring: Leading the recruitment process with your Talent Acquisition Partner Ensuring new hires are properly introduced to the team, the organization, its culture, policies, and their specific roles. Performance Management: Setting...

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...

We are looking for a  Legal Operations Assistant  to join our Legal Department at Swissquote Bank Ltd at its headquarters in Gland, Switzerland. This role is a multi-disciplinary function with a focus on operational and administrative tasks, which include for example the following: Main task: Handling requests from the various Swiss authorities, such as state attorneys or debt enforcement offices (including making the required clarifications, data extractions and correspondence) Handling written correspondence with third parties Various other administrative tasks, for ex. coordination of legal translations Qualifications You are looking for a position with an occupancy rate of 100% You have completed a basic economic education (“CFC” or title deemed equivalent) or have obtained a university degree You are fluent in French (mother tongue) and have   very good knowledge of German (minimum B2, written and spoken)  and good knowledge of English (B1) You have excellent...

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...

As the Director of the Information Security, you will leads the design, implementation, and continuous improvement of the Group’s global information security strategy. Conducting digital banking across 10 jurisdictions and operating two banking licenses, the role ensures consistent protection of customer and corporate data, regulatory compliance, and operational resilience for the entire Swissquote Group. Reporting directly to the Chief Operating Officer, the Head of Information Security oversees all security functions, including Governance, Risk & Compliance (GRC), Security Operations (SOC), and the Cyber Task Force (Security Engineering), ensuring a unified and risk-based approach to cybersecurity. Strategic Leadership Define and maintain the Group’s information security vision, strategy, and roadmap, aligning with business objectives, regulatory obligations, and evolving threat landscapes. Act as a trusted advisor to senior management and the Board on cyber risks,...

We have an exciting opportunity in our Legal Department. We offer the opportunity to become part of a young performing team, in a stimulating working environment combining a friendly, casual atmosphere with cutting-edge technologies and a great diversity of tasks. As a Market Surveillance Officer, you will be part of the Market Compliance Function of the Bank. Among others, your tasks will typically be the following: Monitor clients’ securities trading activities Identify and analyse potential prohibited market conduct cases (insider trading and market manipulation) Liaise with internal and external stakeholders and counterparties Qualifications Master Degree in Economics or Law At least 2 years of experience in the financial sector or 1 year in a similar role SIX or Eurex trading licenses are a plus Good knowledge of English and French Excellent knowledge of financial markets, financial products and trading activities Self-motivated and passionate about...

As a member of our Global Sales HQ Department, you will perform a wide range of tasks aimed at growing the business by providing best-in-class service to the Bank’s existing clients, as well as supporting sales missions to acquire new ones. You are ready to bring and demonstrate: A client-first approach and commitment to delivering exceptional service, A team-oriented attitude and collaborative mindset, Strong understanding and escalation of client issues, Proactive suggestions for improving products, services, and processes, Commitment to our organizational values and standards, A sense of urgency and high energy in achieving goals. Role Description: Develop and manage your own portfolio of clients and business partners, Identify and pursue new business opportunities, Actively acquire new clients via phone, email, and in-person meetings, Support the LATAM Desk with onboarding new clients, Manage initial contact and continuous follow-up with prospects in...