Senior Regulatory Compliance Officer

il y a 2 semaines

Luxembourg, Luxembourg Saxton Leigh Temps plein

THE COMPANY:

We are working with an international financial institute who are looking for a MiFID specialist to join the team. The role is a Senior Regulatory Compliance Officer.

THE RESPONSIBILITIES:

  • Analyse new regulations and related documents (directives, delegated regulations, laws, circulars, FAQs, ESMA guidelines, etc.);
  • Identify the compliance risks and potential impacts on the different activities of the Bank,
  • Draft and review the MiFID related policies, procedures;
  • Assess the effectiveness of the first line of defence controls and properly manage compliance risks for the compliance areas in scope (e.g. MiFID, Governance, Cross border transactions, Market abuse, Complaints);
  • Monitor implementation of the MiFID related processes and procedures (control of the rules of conduct, ensure that the clients' information collected meets the requirements, review of the Customer Investment Profile, review of the order processing rules, control of the investment strategy, review of the client's classification;
  • Draft concise and highquality compliance monitoring memos
  • Be able to design new controls and communicate to the stakeholders the findings, related action plan and ensure the followup;
  • Review in collaboration with the law firm the contractual agreements relating to the Bank's products and services (such as discretionary management mandates, investment advisory contract etc);
  • Provide advice to the Chief Compliance Officer and to other departments incl. guidelines;
  • Operate the Market Abuse Surveillance system;
  • Assist in the lodging of a STOR to the Regulator in case of a suspicious transaction;
  • Participate in projects implementing regulatory developments impacting the Bank;
  • Assist on the preparation of the compliance reporting (internal and external);
  • Liaise with internal and/or external parties on MiFID/Market Abuse compliance related matters;

EXPERIENCE REQUIRED:

  • 2 5 years in regulatory compliance in a financial institute with great experience across regulatory compliance, mainly market abuse and MiFID regulations
  • Preference of experience within the wealth management space
  • Fluency in English required, B2 (minimum) in French
For further information please contact Jordan White

About this role:

Location:

Luxembourg

Specialism:

Compliance

Salary:

Type:

Permanent

Reference:

18847

  • Senior Regulatory Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg ING Temps plein

    Senior Regulatory Compliance Officer (M/F)ING Luxembourg is looking for a full-time Senior Regulatory Compliance officer to support the current team.Job descriptionAs member of the Regulatory team, your purpose is to manage risks arising from Unfair Customer Treatment, Conflicts of Interest, Financial Market and Investor's Protection, Market Conduct,...

  • Regulatory Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg Julius Baer Temps plein

    At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let's shape the future of wealth management together.The (Junior) Regulatory Compliance Officer is part of the Julius Baer Europe's Regulatory Compliance (RC) Competence Center. To...

  • Senior Compliance Officer Regulatory

    il y a 2 semaines

    Luxembourg, Luxembourg CA Indosuez Wealth (Group) Temps plein

    **Type de métier**:Types de métiers Crédit Agricole S.A. - Conformité / Sécurité financière**Intitulé du poste**:Senior Compliance Officer Regulatory H/F**Type de contrat**:CDI**Date prévue de prise de fonction**:01/07/2023**Poste avec management**:Non**Missions**:Au sein de ce département positionné au cœur de l'activité et en contact régulier...

  • Regulatory Compliance Officer

    il y a 4 semaines

    Luxembourg, Luxembourg ING Temps plein

    (Senior) Regulatory Compliance OfficerING Luxembourg is looking for a full-time (Senior) Regulatory Compliance officer to support the Conduct Compliance & Ethics (CC&E) team. Job description The Conduct Compliance & Ethics (CC&E) team is in charge of identifying, assessing, advising, overseeing and reporting on risks arising in the areas of Unfair Customer...

  • Regulatory Compliance Officer

    Il y a 2 mois

    Luxembourg, Luxembourg ING Temps plein

    (Senior) Regulatory Compliance OfficerING Luxembourg is looking for a full-time (Senior) Regulatory Compliance officer to support the Conduct Compliance & Ethics (CC&E) team. Job description The Conduct Compliance & Ethics (CC&E) team is in charge of identifying, assessing, advising, overseeing and reporting on risks arising in the areas of Unfair Customer...

  • Regulatory Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg ING Luxembourg Temps plein

    (Senior) Regulatory Compliance OfficerING Luxembourg is looking for a full-time (Senior) Regulatory Compliance officer to support the Conduct Compliance & Ethics (CC&E) team. Job description The Conduct Compliance & Ethics (CC&E) team is in charge of identifying, assessing, advising, overseeing and reporting on risks arising in the areas of Unfair Customer...

  • Regulatory Compliance Officer

    il y a 3 semaines

    Luxembourg, Luxembourg ING Luxembourg Temps plein

    (Senior) Regulatory Compliance OfficerING Luxembourg is looking for a full-time (Senior) Regulatory Compliance officer to support the Conduct Compliance & Ethics (CC&E) team. Job description The Conduct Compliance & Ethics (CC&E) team is in charge of identifying, assessing, advising, overseeing and reporting on risks arising in the areas of Unfair Customer...

  • Senior Manager Regulatory Compliance

    il y a 2 semaines

    Luxembourg, Luxembourg Do recruitment advisors Temps plein

    Contract Type:PermanentLocation:LuxembourgSalary:Market relatedStart Date:Reference:JOContact Name:Aideen FlanneryJob published:5 January 2023SENIOR MANAGER REGULATORY REPORTING (M/F)THE ROLE:Reporting to the Luxembourg Chief Compliance Officer, the Regulatory Compliance ("RC") Senior manager's core task will be to manage the development of the RC and as a...

  • Senior Compliance Officer Regulatory

    il y a 2 semaines

    Luxembourg, Luxembourg Indosuez Wealth Management Temps plein

    du poste- Au sein de ce département positionné au cœur de l'activité et en contact régulier avec des interlocuteurs de différents niveaux hiérarchiques, vous aurez pour mission d'assister le Head of Regulatory Compliance dans la bonne mise en œuvre de la politique de Compliance Regulatory, et d'assurer l'identification, l'évaluation et la gestion du...

  • Senior Compliance Officer

    il y a 7 jours

    Luxembourg, Luxembourg Abiomis Temps plein

    Senior Compliance Officer – PSF en Pleine Expansion, AIF Pour un PSF spécialisé, notre équipe recrute actuellement un Senior Compliance Officer ayant de l'expérience dans l'administration d'un portefeuille de fonds d'investissements.Avec un grand focus sur divers véhicules d'investissements dans leur avancée stratégique, le PSF propose un service...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg Austin Bright Temps plein

    We have an exciting job opportunity for a talented and experienced Senior Compliance Officer to join our esteemed client. With its prestigious reputation in the financial industry and its prime location at the heart of Luxembourg, this role offers a unique opportunity for professional growth and a vibrant work-life balance.The company is a leading financial...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg INTESA SANPAOLO WEALTH MANAGEMENT S.A Temps plein

    Your responsibilities: Being in charge, under the supervision of the Chief Compliance Officer an in cooperation of the other Compliance Officer, of a wide range of Regulatory Compliance aspects, and most notably of the advice, legal watch, risk assessment, controls and reporting activities in the fields of MIFID II, MAR, Outsourcing and Insurance...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg RecSel International Ltd Temps plein

    Our client, a leading international asset management group, is looking for a Senior level compliance officer to join their Luxembourg HQ to help support the Chief Compliance Officer.The focus of this role will be on developing internal controls and procedures to ensure the business adheres to regulations, and will ensure that appropriate compliance-related...

  • Regulatory Compliance Officer F/M

    Il y a 2 mois

    Luxembourg, Luxembourg Fyte Temps plein

    We are currently seeking a meticulous and knowledgeable Regulatory Compliance Officer with expertise in regulatory affairs to join the compliance team and work closely with the Head of Compliance of the bank. The successful candidate will play a pivotal role in ensuring the institution's adherence to relevant laws, regulations, and industry...

  • Regulatory Compliance Officer F/M

    il y a 4 semaines

    Luxembourg, Luxembourg Fyte Temps plein

    We are currently seeking a meticulous and knowledgeable Regulatory Compliance Officer with expertise in regulatory affairs to join the compliance team and work closely with the Head of Compliance of the bank. The successful candidate will play a pivotal role in ensuring the institution's adherence to relevant laws, regulations, and industry...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg Danos Group Temps plein

    Our Client, a leading Private Markets firm, is looking for Senior Compliance Officer to join their team based in Luxembourg on a permanent basis. The role will be working closely with the Head of the team, supporting in the Compliance Monitoring Plan, the implementation of policies and procedures, and assisting the Head of the Team on BAU...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg Austin Bright Temps plein

    You are an experienced Compliance professional seeking a challenging opportunity to excel in a meritocracy-based environment? Look no further We are currently seeking a highly skilled Senior Compliance Officer to join our client, a prestigious Professional Services Firm (PSF) known for promoting a dynamic work culture, rewarding efforts, and fostering strong...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg Barclay Simpson Temps plein

    Senior Compliance Officer - Conduct Risk:Luxembourg- € 85 000 Job type: Permanent Sector: Insurance Job reference: #40912Our client, a prominent specialty insurance group, seeks a Compliance Officer specializing in Conduct Risk. Bring your expertise to support insurance distribution, product governance, conduct risk, and complaints within our client's...

  • Senior Compliance Officer, Aml

    il y a 2 semaines

    Luxembourg, Luxembourg Austin Bright Temps plein

    Introduction:One of our partners is an independent, owner-managed management company based in Luxembourg that is licensed as an alternative investment fund manager and as a UCITS IV-compliant management company.They are looking for a senior compliance officer to strengthen their team. This opportunity is ideally located for cross-border workers from Germany...

  • Senior Compliance Officer

    il y a 2 semaines

    Luxembourg, Luxembourg Harry Hope Temps plein

    Your Role • Help develop the Compliance Monitoring Plan, including leading the actions and implementation• Conduct annual reviews and updates to the manual of policies and control its implementationwithin the Company.• Provide advice to the business on appropriateness and effectiveness of controls in place• Conduct due diligence on the delegates and...