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Senior Investment Services Compliance Officer


  Vaduz,   x

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  Compliance & Financial Crime    Permanent

Role: Senior Investment Services Compliance Officer  
Location: Vaduz, Liechtenstein
Employment Type: Permanent, 100%

We’re currently recruiting on behalf of a leading private bank who is looking for a highly motivated compliance professional to strengthen their newly built investment services compliance team in Vaduz!

This opportunity will give you the chance to have a real impact in assisting to make decisions for the team, interaction with the wider business and you will take on a broad range of responsibilities.

Responsibilities may include (but are not limited to):

  • You coordinate MiFID II updates and ensure the MiFID review.
  • You control their advisory process (e.g. appropriateness of the clarification, customer information, disclosures, suitability test, suitability declarations).
  • You carry out various controls, including quality improvements, contacting customers, customer classifications, recording and retention obligations, and agreements with their customers in the securities business.
  • You are responsible for the correct management of registers in your department (e.g. usage register).
  • You create regulatory-oriented evaluations in relation to their securities business.
  • Check the correctness and completeness of various reports.
  • In the case of cross-border activities, you ensure compliance with the relevant provisions in securities supervision law in the host Member State.

Key Experience;

  • You have a strong academic background, ideally achieving a degree in Law. Further training in banking/compliance would be an advantage
  • You have several years of professional experience in a similar position
  • You have extensive experience with European financial market regulation, in particular with MiFID, AIFMD and UCITS.
  • You have experience both with project implementation of regulations and with operational day-to-day work in the field of regulatory compliance.
  • You have strong communication skills with the ability to communicate in German and English fluently

If you are interested in this position and your experience meets the requirements, please apply via the button below. If you do not receive a response on your application in 3-5 working days, please assume your application has been unsuccessful on this occasion.

If you are not interested but would like to get in touch about other potential opportunities, please feel free to send your CV directly to amelia.grocock@jcwresourcing.com

If you are not interested but know someone who might be then JCW offer a generous referral scheme reward, whereby anyone who refers us to a successfully placed candidate is entitled to receive vouchers.

Amelia.Grocock

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