Compliance Officer

il y a 2 semaines


Luxembourg, Luxembourg StoneX Group Temps plein

Overview:
Permanent, full-time, on-site or hybrid #LI-Hybrid #LI-OnSite #LI-MA1

Responsibilities:

  • Identifying and assessing the compliance risks associated with the firm's current and proposed business activities, including new products, new relationships and any extension of operations or network on an international level;
  • Identifying and keeping an inventory available to all staff of essential laws and regulations pertinent to the firm;
  • Ensuring that the firm complies with all relevant laws, regulations and best practice in Luxembourg and in any other jurisdiction where it operates (currently Germany and Ireland);
  • Advising local management on relevant laws, regulations and best practice, and inform them about any developments in these areas;
  • Advising on new laws, regulations and practices and identifying their likely impact on the firm's business;
  • Conducting regular AML/KYC reviews on new as well as existing accounts;
  • Monitoring compliance with internal policies, procedures and guidelines by performing regular and comprehensive compliance risk assessments and testing;
  • Performing regular monitoring of executed trades for market abuse purposes;
  • Assessing the appropriateness of internal policies, procedures and guidelines, ensuring followup is made of any identified deficiencies, making recommendations for amendments, where necessary, and supervising the implementation of corrective measures to mitigate the identified deficiencies;
  • Providing support to specific business areas where issues arise that require further investigation and/or control improvements;
  • Educating staff with respect to compliance with applicable laws, regulations and best practices, and acting as advisor on compliance queries from staff members;
  • Carrying out regular onsite compliance inspections of the firm's branches in Germany and Ireland, and report on findings and suggest mitigating actions as relevant.
  • Assist in preparation of internal compliance reporting;
  • Liaising with external bodies or the firm's own group entities on compliance matters, where relevant;
  • Establishing and conducting appropriate compliance checks and controls;
  • Managing specific compliancerelated projects, as appropriate;
  • Assisting in the production, review and followup on the annual Compliance Monitoring Plan;
  • Reporting to the Chief Compliance Officer of the firm.
  • Reviewing/Providing comments on legal contracts in close cooperation with Group Legal;
  • Liaising with external lawyers, where relevant;
  • Assuming ownership of and coordinating any client complaints to ensure that they are investigated and resolved in accordance with agreed principles.

Qualifications:

  • Between 3 and 6 years of similar experience in the compliance field;
  • Proven project management skills;
  • Good organisational skills;
  • Sound knowledge of Luxembourg financial laws, regulations and industry practices;
  • Strong analytical mind;
  • Strong interpersonal skills;
  • A good working knowledge of Word and Excel. Knowledge of Bloomberg is considered an asset;
  • Strong problemsolving skills;
  • Proactive and "thinking outside of the box" approach;
  • High level of integrity;
  • Ability to cope with stress and display flexibility towards designated tasks and time;
  • Ability to work independently under mínimal supervision;
  • Good knowledge of English and French. German considered an asset;
  • Strong communication and listening skills.


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