Head of Compliance Singapore/ Compliance Manager

WHO WE ARE

Leonteq is a Swiss fintech company with a leading marketplace for structured investment solutions. Based on proprietary modern technology, the company offers derivative investment products and services and predominantly covers the capital protection, yield enhancement and participation product classes. Leonteq acts as both a direct issuer of its own products and as a partner to other financial institutions. Leonteq further enables life insurance companies and banks to produce capital-efficient, unit-linked pension products with guarantees.
- Leonteq generated turnover of CHF 28.9 billion and posted total operating income of CHF 417.8 million in 2021. As of 31 December 2021, Leonteq's shareholders' equity totalled CHF 802.1 million.
- Leonteq has an investment grade rating from the rating agencies Fitch Ratings Ltd. and Japan Credit Rating Agency, Ltd., who have evaluated and assigned ratings to Leonteq AG and Leonteq Securities AG, respectively.
- Leonteq is listed on the SIX Swiss Exchange (SIX: LEON) and is a securities firm regulated by the Swiss Financial Market Authority FINMA and is a member of the Swiss Structured Product Association.About the role

What you'll do
- liaising with the local regulator (MAS) on new business/products, licensing and compliance matters and regulatory inspections and enquiries, and managing relationship with relevant regulator(s)
- to provide advisory services and guidance to the business team(s) and management in Singapore on licensing, regulatory controls and compliance issues for and relating to the dealing in products, including the review and approving of, and giving of advice on existing and new product offerings and on regulatory requirements/changes that may affect business operations
- establish and maintain appropriate compliance monitoring programs (including the conduct of regular compliance monitoring and desk reviews) for the conduct of the business in the regulated activities of the Company to ensure that applicable regulatory requirements as well as internal policies and procedures are met
- to monitor the regulated business activities of product structuring, offering, distribution and sales practices, marketing materials and other sales documents, and of client transactions, including the conduct of cross border activities in the region
- to conduct monitoring for, and reporting of any, money-laundering, bribery and corruption and other suspicious transactions
- to ensure that client on-boarding processes, such as account opening, know-your-client, client/product due diligence and suitability, carried out are in line with local laws, regulatory and internal requirements
- to monitor the conduct of employees, including staff dealing and disclosure of conflict of interests, in line with internal business and codes of conduct
- to assist in establishing, harmonising, implementing, and/or reviewing group and (where required) local compliance policies and procedures
- to conduct individual and corporate licensing, registration (including the conduct of necessary due diligence) and renewal
- to undertake regular regulatory reporting, and ad-hoc notification(s), including review and submission of statements of asset and liabilities, income and expenditure and financial resources returns, and management and submission of capital markets intermediaries and industry surveys and questionnaires with the local regulator (MAS)
- to maintain general compliance administrative record keeping and prepare regular compliance monitoring reports, and to provide assistance on all internal and external inspections, audits or reviews, including by internal and external auditor(s) and local and head office regulator(s)
- to implement, conduct and/or ensure adherence to the requirement for initial and ongoing group and local compliance and/or continuous professional development training to or by staff members and business units so as to promote awareness of internal and external laws and regulatory requirements; and to assist in ad-hoc global and local projects/ tasks relating to regulatory/ compliance requirements upon request

What you'll need
- University graduate preferably with a degree in Law, Finance, Accounting or related discipline(s)
- at least 7-8 years relevant working experience within compliance or audit, preferably in private banking, wealth management or broker/dealer and/or with a regulatory body
- good knowledge and understanding of relevant Singapore securities or capital markets products laws and regulations, and knowledge of/familiarity with the other Southeast Asian country securities laws and regulations (including Malaysia, Indonesia and Thailand) and in the issue, distribution and management of structured products would be a strong advantage
- good analytical and problem solving skills
- good communication and interpersonal skills
- ability to work under pressure and in meeting deadlines
- good command of written and spoken English essential