Compliance Officer (f/m/d)Compliance Officer (f/m/d)
Deutsche Börse
Luxembourg, L, LU
il y a 2j

Field of activity

The Compliance Function works closely with the individual business units and group control functions to ensure compliance with national and international laws and regulations applicable to the various units of the Deutsche Börse Group and its business activities.

The compliance function has a proactive role in the identification of possible non-compliance or reputational risks, including those that may arise in connection with new activities and products.

Clearstream Compliance works in partnership with Group Compliance which is responsible in defining group-wide compliance policies, supports their uniform application within the group entities, and provides centralised services to prevent money laundering and terrorist financing, international financial sanctions, anti-

corruption; data protection, and the prevention of conflicts of interest and related securities law requirements.

Located in Luxembourg you will assist the CCO in strengthening compliance controls over the organisational and technical measures across the business areas of the specific legal entity, as one component of a broader compliance approach across the Deutsche Börse Group and Clearstream Sub-Group.

Tasks / responsibilities

  • Define and maintain the 2nd Line of Defense Compliance Control plan
  • Supervise and perform controls as a 2nd Line of Defense on activities carried out by the business areas. Focus is on all Clearstream Banking activities, like securities settlement system and central securities depository
  • Prepare, develop and maintain relevant risk analysis including risk based derivation of respective control measures
  • Support and supervise the business areas regarding coordination and closing of findings identified by Compliance or as results of internal or external audits
  • Coordinate resolution of external and internal audit findings on the Compliance function
  • Prepare reports on the control measures and controls
  • Monitor regulatory requirements and market practices
  • Contribute to the operational duties of the CBL Compliance Team (compliance assessment for prospects, clients, new issues and alert management)
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