Senior Compliance Officer
il y a 7 jours
About Us
As one of the world's largest independent financial advisory groups, we know that it takes a distinct perspective to make a meaningful difference to our clients’ business and wealth.
Rothschild & Co is a global and family-controlled group. We provide M&A, strategy and financing advice, as well as investment and wealth management solutions to large institutions, families, individuals and governments, worldwide.
Having been at the centre of the world's financial markets for more than 200 years we can rely on an unrivalled global network of more than 3,800 talented employees and a track-record of outstanding execution with 60 offices around the world.
Our integrated global network of trusted professionals and decision makers around the world provide in-depth market intelligence, meaning we can be closer to current issues than any other global financial institution in our core markets.
It is this scale, local knowledge and intellectual capital that allow us to provide a distinct perspective and effective long-term solutions for our partners.
Overview of Role
Fluency in English is essential, French would be a strong advantage. He/she should also have the ability to solve problems in a professional and proactive manner, be highly-collaborative, organized, responsive and have excellent communication skills to work within a local function as well as liaising with the broader Group. He/she will have a direct reporting line into the CCO & MLRO.
**Responsibilities**:
- Assist the Chief Compliance Officer (CCO & MLRO) in maintaining and developing the Company’s and Division’s Compliance risk management framework, including FCC governance and reporting, policies, methodologies and tools, risk and control assessments, definition of risk appetite and determination and monitoring of adequate risk indicators
- Support the CCO with identification of higher risk areas and undertake, under supervision of the CCO, independent thematic reviews on the local processes and procedures
- Assist in reviewing the first line of defense control environment in close co-operation with stakeholders in the Front Office, Investments, Risk Management and other support functions (Finance, IT, Middle office)
- Under supervision of the CCO, contribute to the overall control framework, develop and perform FCC controls
- Work in partnership with other second line assurance functions, both within the Division and the wider Rothschild & Co Group
- Promote Compliance risk awareness and adequate Compliance culture in a committed manner through training and dedicated sessions and by providing guidance on Compliance risk mitigation and controls to managers and local team members.
Non exhaustive list of duties
- Active involvement in the Onboarding process, KYC review process, due diligence program on third party introducers & depositary banks
- Name screening: ensure daily hit handling and proper escalation to CCO
- Advising and assisting regarding AML, sanctions and ABC matters
- Handle 2nd line transaction monitoring
- Adapt and maintain FCC policies and procedures
- Adapt and perform 2nd line of defence controls in FCC areas
- Assist in the development of compliance initiatives and programs to comply with the respective legal and regulatory obligations
- Ensure detailed and prompt investigation of all AML/CTF incidents and cases
- Provide prompt and relevant compliance reporting to CCO to ensure completion and proper analysis of suspicious activity reports that have been conducted
Education and Qualifications
- Strong educational background (University degree in Business Management/Law, Finance or equivalent)
- Fully computer literate (MS Office, especially in Excel and Power Point), experience in using Avaloq is desirable
- M3 Compliance certification or CAMS certification would be an asset
Experience, Skills and Competencies Required
- Experience in the Private banking / Wealth Management industry (e.g. in the area of FCC or internal / external audit (3-5 years post-graduation))
- Good knowledge of key AML Luxembourg and EU rules and regulations
- Practical experience of AML risk management in Luxembourg including change management & investigation
- Meticulous attention to detail, organizational skills and ability to meet deadlines
- Well-developed analytical skills to rapidly understand business situations, advise on solutions and challenges
- Ability to build trusted relationships with stakeholders both locally and across the Group
- Patience and flexibility, alongside being prepared to take on more basic tasks as required
- Excellent, collaborative teamwork skills and solution-oriented approach; ability to also act independently using sound judgment, self-starter and a reliable personality
- Proficient in English and French (written and spoken)
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