Senior Compliance Advisor
il y a 2 semaines
**Description**
- Se tenir au courant des développements dans les législations pertinentes ;
- Analyser les nouvelles réglementations et les documents connexes (directives, règlements délégués, lois, circulaires, FAQ, lignes directrices de l'ESMA, etc ;
- Identifier les risques de conformité et les impacts potentiels sur les différentes activités de la Banque, effectuer une analyse des lacunes lorsqu'une nouvelle réglementation est publiée dans un domaine de conformité et être en mesure d'identifier l'impact, les lacunes et les solutions ;
- Rédiger et réviser les politiques et procédures relatives à la MiFID ;
- Évaluer l'efficacité des contrôles de la première ligne de défense et gérer correctement les risques de conformité pour les domaines de conformité concernés (par exemple, MiFID, gouvernance, transactions transfrontalières, abus de marché, plaintes) ;
- Contrôler la mise en œuvre des processus et procédures liés à la MiFID (contrôle des règles de conduite, vérification que les informations collectées sur les clients répondent aux exigences, examen du profil d'investissement du client, examen des règles de traitement des ordres, contrôle de la stratégie d'investissement, examen de la classification du client...) ;
- Créer des mémoires de contrôle de conformité concis et de grande qualité ;
- Créer des mémos de contrôle de conformité concis et de haute qualité avec les conclusions correspondantes ;
- Concevoir de nouveaux contrôles et communiquer les résultats, les plans d'action et assurer le suivi avec les parties prenantes ;
- Examiner les accords contractuels relatifs aux produits et services de la Banque en collaboration avec le cabinet d'avocats ;
- Conseiller le directeur de la conformité et d'autres départements, y compris les lignes directrices ;
- Exploiter le système de surveillance des abus de marché ;
- Aider à soumettre une STOR au régulateur pour les transactions suspectes ;
- Participer aux projets de mise en œuvre des évolutions réglementaires affectant la Banque ;
- Aider à la préparation des rapports de conformité internes et externes ;
- Fournir au personnel des recommandations et des orientations en matière de mesures correctives ;
- Assurer la coordination avec les parties internes et externes sur les questions de conformité à la MiFID et à l'abus de marché ;
- Organiser des séances de sensibilisation et de formation à la conformité dans l'ensemble de la banque.
**Profile**
- Formation : Diplôme universitaire ou équivalent en gestion d'entreprise, en droit ou dans un programme de maîtrise connexe.
- Expérience : 3 à 5 ans d'expérience directe dans le domaine de la conformité réglementaire au sein d'une banque ou d'un cabinet de conseil/audit, avec une expertise dans les réglementations MiFID et Abus de marché (compréhension approfondie des réglementations relatives à la protection des investisseurs et à la transparence des marchés de capitaux).
- Compétences matérielles : Maîtrise de l'outil informatique, connaissance pratique des lois et réglementations régissant le secteur financier luxembourgeois
- Compétences non techniques : souci du détail, sens aigu de l'organisation, de l'analyse et de la logique.
- Langues : Solides compétences en communication écrite et orale en anglais et en français. La maîtrise d'une autre langue serait un avantage.
**Offer**
Notre client propose un contrat à durée indéterminée.
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