Regulatory Compliance Officer Regulatory Compliance Officer …

in Valletta, Il-Belt Valletta, Malta
Permanent, Full time
Last application, 17 Jan 21
in Valletta, Il-Belt Valletta, Malta
Permanent, Full time
Last application, 17 Jan 21
As a leading provider of online financial services, Swissquote Group offers innovative solutions and comprehensive services to meet the wide ranging demands of its 300,000 clients. With an Online Trading Platform linked to more than 60 stock markets in over 40 countries, including off-exchange trading in derivative products, Swissquote offers simple, rapid, online trading in shares, bonds, funds, options, futures, warrants, ETFs, Structured Products, forex and cryptocurrencies.

Swissquote Group is listed on the SIX Swiss Exchange (symbol: SQN) and employs 700 professionals at its headquarters in Gland (Switzerland) and offices in Zurich, Bern, Dubai, Hong Kong, London, Luxembourg, Malta and Singapore.

Swissquote Financial Services (Malta) Limited

Swissquote Financial Services (Malta) Ltd, the Malta-based fully-owned subsidiary of Swissquote Group, is a financial services company regulated by the Malta Financial Services Authority and providing Depository Services and Global Securities Trading Services to Collective Investment Schemes, Asset Managers, Wealth Managers and Family Offices.

By joining Swissquote, you will become a member of the sector's leading Depositary. You will be encouraged to develop your skills and to grow within teams of highly qualified specialists. We encourage personal development and actively support creative team work, leadership and responsibility.

We are looking for a positive and adaptive hard worker. We offer an unparalleled opportunity to operate in a fast pace environment with a great team of like-minded peers.

Our office is located in the vibrant capital city, Valletta; a World Heritage site and European Capital of Culture in 2018; nothing short of an open-air museum.

Get on board with our team!

Job Description

  • Operating within the legal and compliance framework, ensuring SQFSM is at all times compliant with all regulatory requirements under an Investment Services Cat4A licence, Cat2 licence, Local Legislation including inter alia the Investment Services Act, European Legislation including inter alia MiFID, AIFMD, UCITS, EMIR, IFR, CRD, GDPR, etc. FATCA, CRS, etc.;
  • Research and analysis of forthcoming EU & Local Directives, Rules & Regulation (including ESMA guidelines where applicable) and impact on SQFSM operations and services;
  • Presentation of internal reports on gap analysis relating to the implementation of new regulatory requirements;
  • Preparing various regulatory submissions (MFSA, FIAU, IRD, IRS etc.)
  • Assistance in the implementation and maintenance of Group Policies and Procedures within SQFSM;
  • Assistance in overseeing internal control in compliance with Group Policies and Guidelines;
  • Assistance in drafting legal and regulatory documentation as required;
  • Assistance in the implementation and maintenance of the Compliance Monitoring Programme;
  • Assistance in monitoring and reporting on AML within SQFSM;
  • Assistance in complaint handling in compliance with Group Policies and Guidelines;
  • Managing client on-boarding (Account Opening, AML & KYC, Client Risk Assessment, Jurisdictional Risk Assessment);
  • Assistance in drafting of internal Compliance Reports and Memos to Senior Management;
  • Assistance in due diligence oversight of Fund Clients;
  • Assistance in the Risk Management framework;
  • Reporting to the Head, Legal and Compliance and Group Chief Legal Officer .


  • Prior regulatory compliance experience within an EU-regulated Financial Services entity and/or University degree and/or Diploma courses in Compliance (required).
  • Strong command of English (written/verbal). Additional languages: German and/or French (an asset).
  • Highly organized, rigorous, methodical and focused.
  • Able to work on own initiative, multi-task and prioritize workload.
  • Strong work ethic, professionalism and deep commitment to meet the highest standards required by the role and Swissquote Group
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