Senior Associate, Compliance
il y a 2 semaines
**The Compliance function, as defined by the Luxembourg regulator, is an independent function whose objective is to identify and assess the compliance risk of an institution, as well as to assist senior management in managing and monitoring this risk. It contributes to the good functioning of the institutions, by controlling activities and/or functions under their direct responsibility. Thereby, compliance is a regular control associated with an on-going and close monitoring of the institution's operations and related risks.
The purpose of the Compliance function is to organise, coordinate and structure compliance-related controls already carried out under the terms of other regulations, but which are currently often spread over several different organisational levels.
The Compliance function aims at protecting the institution from any prejudice that might result from the failure to comply with the rules in force and at contributing to the efficient management of ensuing risks.
The Compliance Analyst will:
- Act as support to the MLRO and Deputy MLRO for the Luxembourg legal banking entity.
- Participate and provide support to Financial Crime initiatives within The Bank of New York Mellon SA/NV, Luxembourg Branch.
- Identify and analyse key AML regulatory developments.
- Provide administrative support, oversight and guidance in all areas relating to Financial Crime.
- Provide financial crime advice and guidance to business / operational staff, as required.
- Horizon scanning on Luxembourg financial crime related developments and issues.
- Review of relevant financial crime draft legislation/regulations/circulars/guidance papers, perform the applicability assessment and work with the business to ensure a proper implementation of the regulatory framework.
- Support the MLRO with relevant regulatory correspondence both to and from regulatory authorities.
- Attend relevant financial crime meetings at local and EMEA level.
- Provide monthly management information for inclusion in Luxembourg governance bodies
- Assist in the preparation of all regulatory reports on Financial Crime related aspects as required, e.g. to the CSSF, CNPD, FIU etc.
- Review Suspicious Activity Reports received from the various lines of business, and assist in submitting notifications/disclosures to external authorities as necessary.
- Coordinate, advise on and review relevant business AML and ABC Risk Assessments.
- Provide support and advice to businesses on procedural implications and implementation issues.
- Oversee all outsourced Financial Crime related activities including review and clearance of surveillance alerts, sanctions clearance, KYC outsourced to the AML Due Diligence Team and conduct sampling in relation to all outsourced activities.
- Oversee training and awareness for Luxembourg branch staff and assist with the development of relevant training programs as necessary.
- To assist the MLRO and its delegate in the execution of his duties to ensure that BNY Mellon is able to effectively manage its operational risks and compliance with Luxembourg Data Protection & Privacy regulations on an ongoing basis.
- Stay current with core regulatory developments, which may affect the Luxembourg legal entities and advise Compliance management on their implications.
- Review draft policies for the approval of the relevant bodies with the aim of respecting applicable laws, regulations and internal rules.
- Act as advisor on compliance queries from employees.
- Assist in the development and deliverance of appropriate compliance training.
- Provide administrative support to establish and maintain departmental procedures regarding compliance requirements.
- Administrative support to Compliance Management in preparing meeting and/or correspondence with external authorities (regulators, local FIU, external auditors ) on compliance matters.
- College degree preferred
- 5 years+ experience in finance services including experience in Financial Crime.
- Fluent in English (oral and written). Other languages considered as an advantage
- Able to foster and develop close working relationships with other departments and locations
- Proactive and focused attitude to work and deadlines.
- Excellent analytical, organizational and time management skills.
- Strong teamwork, interpersonal, verbal, and written communication skills.
- Flexible and able to work independently.
Here's a few of our awards:
- Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
- Bloomberg's Gender Equality Index (GEI)
- Human Rights Campaign Foundation, 100% score C
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