Head of Compliance - Associate Director

Building the broker 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. Swissquote Capital Markets Ltd, a subsidiary of Swissquote Group Holding Ltd, a leading provider of online financial and trading services providing 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!

This role involves aligning business processes with organizational goals, driving process improvements, and ensuring that operations are compliant with local regulation and group requirements.
 

• Ongoing monitoring and oversight of regulatory development relevant to the activities of the Company in Cyprus.
• Assist with Reporting to CySEC and other EU Regulators.
• Monitoring and oversight of regulatory developments.
• Monitoring of the CySEC reporting schedules for all activities of the Company (including Finance, Dealing and Customer facing (i.e. complaints).
• Regular monitoring of the implemented procedures, reports etc.to identify hidden risks or non-conformity issues.
• Compliance monitoring program (EU): regular review of all company operations, in line with the regulatory guidelines and audit findings.
• Supervision of Customer Facing Department for complaints handling and verification.
• Ensuring the company has appropriate structure / governance, of which CySEC is notified.
• Maintain and monitor the compliance monitoring program.
• Research, completion of license applications.
• Handling and supervising the reporting obligations.
• Assisting with compliance resolutions with regulatory authorities.
• Oversight of operation related tasks.
• Cooperation with the Product and Ops team to ensure the Compliance function has the necessary reports required for ongoing monitoring of the procedures already set in place.
• Assistance with financial reporting obligations.

• University degree in Finance or Law.
• Depth Knowledge and experience with MIFID II legislation & CySEC regulations.
• Previous job experience in a related field – minimum 6 years.
• Familiarity with industry practices and professional standards.
• Open to creative solutions & business innovation; a team player.
• Strong verbal skills.
• Integrity and professional ethics.
• English to a high fluency with Greek being advantageous.