Compliance Officer
il y a 2 semaines
A career at the Lombard Odier Group is something to be proud of. Our mission is to protect and grow our clients’ wealth - but not by any means necessary. Sustainability is at the heart of everything we do and we treat our clients’ wealth as if it were our own. We protect our clients’ assets for the long-term using expertise and innovation, all underpinned by our Rethink Everything philosophy. Our colleagues are the foundation of our success. We employ people at different life stages, from graduates to executive level leaders. The one thing they all have in common is that they seek to challenge the status quo, are imaginative and have the ability to offer a fresh perspective.
YOUR MISSION:
Reporting to the local MLRO, you will form part of a team of 4 people (including the MRLO) responsible for the operational effectiveness of the Compliance Function at our offices in Luxembourg as regards namely AML/CFT matters. As such, you will manage AML/CFT compliance and financial crime risk consistently to ensure that risks and vulnerabilities are identified, controlled and reported in an effective, timely and uniform manner.
Whilst the role focuses on the Luxembourg office AML/CFT activities, you will also be involved in the LOESA centralized coverage, working closely with the Local Compliance Officers based at our other European offices (Belgium, France, Italy, Spain, United Kingdom) and exchange with the Compliance Function at the Group’s headquarters in Switzerland, having the opportunity of participating in Group and/or Luxembourg-led initiatives (regulatory or strategic projects, group-all training initiatives, deployment of tools and best practices), sharing expertise and providing local know-how.
In particular, the role entails:
- On-boarding: review and assessment of new prospects of the Luxembourg office for the different business lines by carrying out due diligence via internal KYC tools and external sources, setting up of the AML risk profile, critical review of the KYC information and documentation, review of the MiFID profile, processes approval via internal tools, support to the “Client Life Management - CLM” team in the assessment of prospects carrying a “low” AML/CFT risk, participation to the local Due Diligence Committees / on-boarding committees.
- Change of Circumstances: review and assessment of all changes of circumstance potentially impacting the AML risk profile for clients of the Luxembourg office, update of the AML risk profile, addition of attorneys/BOs, update of MiFID profiles, account closure approval process.
- Transaction monitoring (KYT): carrying out transactions monitoring activities via the ex-ante approval of High Risk transactions and the handling of the alerts generated by the ex-post transaction-monitoring tools, for all the branches of the Bank across Europe, liaising with the relationship managers and/or Local Compliance Officers to clear and document alerts.
- Screening: daily check of the client database versus blacklists via the treatment of the alerts generated by the screening tools and assessment of possible true hits.
- Periodic reviews: active participation in the periodic client file and AML/CFT risk reviews, by reviewing and assessing evolutions in the client’s profile, activities and transactions pattern and determining the appropriate level of AML/CFT risk (e.g., review of existing files, identification of gaps, conduct of KYC checks, re-assessment of underlying risk, remedial action plan set-up and follow-up, escalation of findings).
- Reporting to the Luxembourg regulatory authorities: reporting of suspicious activities/transactions, handling of requests for information received from local authorities (e.g.: e-file, GoAML, Ad-hoc queries).
- Ad-hoc advice and support to the business on the appropriate standards for compliance with the applicable AML/CFT laws, rules, and regulations, including providing training to the local Staff as well as supporting the overall LOESA Compliance organization in the development of the bank’s AML/CFT training program.Promote the highest ethical standards required of staff and ensure staff meet the requirements of the Compliance Manual and the relevant regulatory rules.
DESIRED PROFILE:
- Minimum of 3-5 years of relevant compliance experience in AML/CFT with a thorough understanding of the EU and local regulatory environment and regulator’s expectations. Knowledge / experience on investor protection / MiFID2 / market abuse matters would be a plus.
- Experience working in Compliance in the financial services industry, with a good understanding of Private Banking business.
- Good knowledge and experience using AML/CFT screening tools such as Pythagoras, WorldCheck and LexisNexis and of the Microsoft office package.
- Analytical and organized mindset, rigorous, results oriented, with a structured approach,, and problem-solving skills. Possess excellent attention to details and demonstrates flexibility and
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