Senior Compliance Officer
July 24
Description
• Monitor the compliance with the Liechtenstein legal acts and supervisory guidelines. You will be our eyes on the ground in Liechtenstein and responsible for ensuring compliance on the national level. • Together with the group compliance team, development and implementation of a comprehensive group-wide compliance framework aligned with regulatory requirements and industry best practices. • Draft and monitor the implementation of the internal policies in all areas relevant to investment services and financial service providers, including laws related to providing investment services, the AML/CTF/sanctions and fraud area, the general risk management area, and Liechtenstein national laws on investment services. • Manage the compliance-related communications with the Liechtenstein authorities, and support the communication and cooperation with the public authorities on group level. • Fulfil the obligations of the executive manager of SwissBorg’s Liechtenstein regulated entity with the responsibility areas of compliance and general risk management. • Monitor and help to adjust for changes in the legal environment with main focus on the Liechtenstein and the EU regulations and supervisory practices. • Monitor, assess and propose improvements as needed to the internal control and customer monitoring frameworks to remain effective and compliant. • Conduct internal investigations and reviews regarding compliance with the applicable laws and internal policies, including with the AMLD, and with relevant national laws. • Manage and support in different administrative proceedings throughout the group. • Support the internal and external audits on group level, and organise and manage the audits on Liechtenstein national level as needed. • Support the internal and external reporting on group level, and organise the reporting on Liechtenstein national level as needed. • Support the internal training and organise training if required. • Stay abreast of the evolving regulatory environment, industry standards and best practices.
Requirements
• Fulfil Liechtenstein national fit and proper requirements for the executive manager in an investment firm. • Bachelor’s degree in Law from a reputable university in the EEA, UK or Switzerland. Master’s degree is strongly preferred. • Minimum of 5 years of experience in the compliance or regulatory areas in EEA, UK or Swiss financial institutions, crypto service providers or FinTech companies. At least some of the experience must be managerial or executive level. Experience in a company under regulatory supervision of the Liechtenstein authorities or in an investment firm are a strong plus. • Strong knowledge of the EU and Liechtenstein investment firm, financial and crypto regulatory frameworks, industry standards and supervisory practices. Knowledge of the UK or Swiss regulatory framework, MiFID II, or good understanding of payment processes are all a plus. • Strong knowledge of the EU and Liechtenstein AML, CTF, sanctions and fraud regulations, as well as basic knowledge of the general risk management area. • Proven experience with development and application of internal policies and procedures in a financial service provider supervised by the authorities. • Strong time management and organisational skills, and the ability to manage multiple tasks concurrently. • Team player with the ability to work in a collaborative environment. • A methodical and diligent approach, to deliver accurate and timely results. Logical and systematic thinking. The ability to convey complex concepts to non-lawyers. • Excellent communication and fluent professional skills in both German and English are a must. • Residency in Liechtenstein or commute distance from Liechtenstein is a must.
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