SENIOR COMPLIANCE OFFICER/ COMPLIANCE MANAGER (M/F)
DO Recruitment Advisors
Steinsel, LU
il y a 6j
source : Monster

SENIOR COMPLIANCE OFFICER / COMPLIANCE MANAGER (M / F)

THE ROLE :

As Senior Compliance Officer, you play a critical role in the success of our business. Your responsibilities include but are not limited to :

  • Carry out research with the aim to arrive at risk recommendations on the various customers, process instruments - credit / acceptance / operations, and to produce solidly argued advises on the risk characteristics
  • Gather relevant information pertinent to analyses from all available internal and external sources
  • Review all information so collected and analyses any and all pertinent developments, macro, meso and micro, in the various customer types
  • To see to it that the applicable laws, regulations and internal rules and standards are taken care of by taking decisions regarding acceptance of clients and transactions and that these are correctly applied
  • To see to it that the Compliance risks are identified and assessed. To see that all reasonable measures have been taken to avoid their occurrence and to mitigate their impact should they nevertheless occur
  • Advise management and staff on specific situations (for example cases of conflict of interests), the acceptability of certain customers and / or certain business
  • Present yearly a plan to management for approval, containing the priorities of the control activities to be implemented.
  • Monitor the effectiveness of the control activities using Compliance manuals, other laws and standards used by staff
  • Report findings and conclusions and produces solidly argued advises. Review opinions and views on quality, research methods, suitability of information for target clients, and, where applicable, indicates areas of improvement
  • Instant reporting of relevant incidents to Management and the Group Compliance in order to provide the Board of Directors and the Audit Committee the assurance on the control of compliance risks
  • Build up a picture of clients / prospective clients and their risks
  • Detection of money laundering transactions made by clients
  • Whenever necessary update, adjust to local requirements and support the implementation of Codes of Conduct, other internal regulations and Compliance manuals by translating the applicable laws, rules and standards to the day-to-day practice of staff.
  • the following subjects, conflicts of interest, Chinese Walls, client acceptance, advise on the acceptability of additional activities, business gifts and of certain business)

  • Dealing with day to day Compliance issues and queries
  • Organize transactions monitoring check and review
  • Organize a follow-up for the open actions in order to meet the recommended deadlines
  • Ensure corporate actions are properly performed and followed-up
  • Organize and provide internal trainings to the staff
  • THE CANDIDATE PROFILE :

  • Have a University degree in Law / Economics / Finance or in a similar field
  • Have a minimum of 5 years working experience
  • Fluent in English, written and spoken. Any other language is a plus
  • Strong experience in the banking sector or fund industry will be considered as an asset
  • Have excellent communication skills and work well in a diverse team
  • Have an open-minded, common sense and can-do attitude
  • Want to succeed, grow, be challenged, challenge others and show commitment and ownership
  • Are accurate, flexible, hands-on and deliver their best work when facing a tight deadline
  • THE CLIENT :

    Our client is a well-known service provider, benefiting from a global network.

    At the final stages of the recruitment process, the successful candidate can be asked to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check might also be requested.

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