Regulatory Compliance Officer
CaixaBank Wealth Management Luxembourg S.A.
12 Rue Erasme, L-1468 Luxembourg
il y a 15h

Job Description

The function reports to the local CCO of the Bank as part of a Compliance team of 3 people.

1)Tasks / responsibilities

  • Analysis of new regulations in Luxembourg, perform a gap analysis of the legal requirements to be implemented in the Bank (i.
  • e. Mifid, Conflict of Interest, Fatca / CRS, Market Abuse, etc ) and train the staff on the new impacts on the Bank. (Set-up of the regulatory watch process);
  • Provide support to the Authorized Management and business areas in all questions of regulatory supervision;
  • Participation in projects and new products analysis from a compliance / regulatory perspective;
  • Prepare the monthly Regulatory Compliance KPIs report, to be reviewed by the CCO and to be distributed to the Authorized Management;
  • Manage the periodical correspondence with the regulators;
  • Assist on the elaboration of the annual Compliance report to the CSSF;
  • Assist on the elaboration of the Compliance section of the annual LFR (Long Form Report);
  • Manage the periodical correspondence with the regulators;
  • Assist the CCO on the daily activities of the Compliance function;
  • Support the CCO during Internal, External and Regulator Audit exams, to ensure the delivery of requests before and during the visits and follow-up of the open issues.
  • 2)Profile

  • University degree in law, business administration or economics or similar qualifications;
  • Minimum 4 years of practical experience on regulatory topics in banks or in audit of banks;
  • Mifid expertise is mandatory. Good knowledge of the main compliance regulatory aspects will be considered (Market Abuse, Conflict of Interest, FATCA / CRS, Internal Governance, among others);
  • Communication skills (verbal and writing) to prepare and present management data;
  • Ability to work independently, under tight deadlines in a multicultural environment;
  • Solution oriented, dedication, hands on, adaptability, teamwork and entrepreneur skill;
  • Any local Compliance certification will be considered;
  • Very good English in both speaking and writing. Spanish and / or Portuguese are considered an asset;
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