Compliance Monitoring Officer
Quintet Luxembourg, , LUX
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Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve.

Compared to others, we are small (

As Compliance Monitoring Officer, you will become part of a European cross locations Compliance Monitoring & Surveillance team of 10, currently operating in Luxembourg, Munich, Amsterdam and Brussels.

The Compliance Monitoring & Surveillance team is responsible for the Compliance Monitoring Program in topics such as Investor Protection (Mifid), Market Abuse, Conflicts of interests, Special investigations (whistleblowers / fraud) and other ethics topics.

The team is a mix of age and background.

The Compliance Monitoring & Surveillance team operates within the larger Group Compliance function (second line of defense) focusing on topics such as Anti Money Laundering, Compliance Advisory and Training.

The Compliance function operates within the matrix and is thus fully independent from the business.

The main purpose of the function is to undertake a range of compliance monitoring activities, to detect and report compliance risks and to recommend corrective actions where needed.

Your main activities in this role are :

  • To provide assurance that inherent Compliance risks are effectively controlled by performing monitoring activities independently and with team members.
  • Your focus will be either on The Netherlands, Luxembourg (incl Denmark), Belgium or Germany.

  • To participate in Group wide controls.
  • To participate in investigations
  • To create draft reports of completed monitoring and testing activities at entity level.
  • To update stakeholders on the progress of activities and findings with reports, meetings and presentations; and escalate significant findings and recommendations to management.
  • To monitor the effective follow up of Compliance recommendations by stakeholders.
  • To contribute to the work of the Compliance monitoring department in any other ways reasonably expected, including participating in projects and working groups and assisting with other priorities in the department.
  • To work in close collaboration with other Compliance (monitoring) officers both in your location as well as in other locations.
  • To participate in and review of annual compliance risk assessment results.
  • To propose advice on performing controls more efficiently and best practices on how others are performing their controls.
  • Key Accountabilities

  • Execution of the Compliance Monitoring Program in the areas of Investor Protection and Ethics.
  • Issuing reports of test results with recommendations for stakeholders, including local (country) management and group management.
  • Contribute to the quarterly Country Management report with summarized conclusions for key risks identified.
  • Knowledge and Experience

  • 3 up to 10 years of relevant experience as internal or external auditor or as a compliance (monitoring) officer preferably in a Big-4 or Internal Audit department.
  • Master (or Bachelor) degree in audit, business, economics, accounting, finance, and / or law
  • Strong knowledge and experience of audit or testing methodology
  • Ideally : proven knowledge of- and experience with audit and / or monitoring processes. Depending on the level of experience, this includes planning, risk analysis, test set up and execution, test reporting, making sound recommendations and follow up monitoring.
  • Attributes and Qualities

  • Effective planning and organization skills, with ability to manage a broad range of activities with sustained momentum and timely delivery
  • Collaborative and supportive team player, with strong work ethic and critical thinking
  • Problem solving, analysis and reporting skills
  • Excellent verbal and written communication and interpersonal skills
  • Technical Skills

  • Advanced level of Excel, good ability for information technology
  • Languages Skills

  • Fluent in English
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