MLRO - Guernsey

ABOUT US

My client is a prominent Swiss fintech company, boasting a leading marketplace for structured investment solutions. Leveraging cutting-edge proprietary technology, we offer a diverse range of derivative investment products and services, specializing in capital protection, yield enhancement, and participation product classes. As a versatile entity, we serve as both a direct issuer of our own products and a collaborative partner to various financial institutions. Additionally, we empower life insurance companies and banks to create capital-efficient, unit-linked pension products fortified with guarantees.

In 2022, our client achieved a turnover of CHF 23.1 billion, with a total operating income of CHF 456.4 million. As of December 31, 2022, our shareholders’ equity stood at CHF 870.0 million.

ABOUT THE POSITION

Renowned for our innovative practices, commitment to excellence, and entrepreneurial ethos, we are a key player in the financial industry. Our core values—unity, passion, dedication, quality, and expertise—serve as our guiding principles.

RESPONSIBILITIES

• Assume responsibility for overseeing all pertinent activities assigned to a Money Laundering Reporting Officer and Compliance Officer in adherence to applicable rules and regulations.
• Act in capacities such as registered Money Laundering Reporting Officer (MLRO), Money Laundering Compliance Officer (MLCO), Compliance Officer (CO), and Nominated Officer (NO).
• Engage in a broad spectrum of Compliance Coverage Team endeavors, with a focus on cross-border queries, structured product distribution (including cross-border), and other product-related aspects.
• Provide support for compliance reviews and reporting obligations.
• Compile and prepare requisite documentation for internal and external assessments, including audits.
• Offer assistance with core compliance tasks and support Group Compliance on audit-related matters.
• Conduct compliance reviews and manage local reporting duties.
• Establish and uphold policies and procedures to identify, manage, and monitor risks to which the company is exposed.
• Liaise with senior management to communicate identified risks and provide recommendations for appropriate actions.

QUALIFICATIONS

• Hold a degree in law or economics, with a minimum of 5 years' experience in Compliance within the Guernsey/UK/EU financial sector, including at least 3 years in a role as Compliance Responsible/MLRO.
• Possess proficiency in local legal and regulatory requirements, along with knowledge of European regulations.
• Display an active interest in capital markets and associated regulations.
• Demonstrate dedication, responsibility, and a robust team-player mentality.
• Exhibit the ability to work autonomously, take initiative, and effectively manage tasks.
• Fluent in English.