Compliance Monitoring Officer
il y a 3 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.
Compliance Monitoring Officer
Key Responsibilities
Your responsibilities within the department are:
- Deliver the Annual Compliance Monitoring Plan:
- Contribute establish the control plan based on results of previous year’s Risk Assessment and other relevant elements. Include a mix of periodic controls, thematic reviews and branch reviews;
- Perform Monitoring Controls and Reviews to high standards of quality;
- Issue value-adding issues and recommendations;
- Follow-up issue and action closely with owners to ensure timely resolution;
- Provide advice and guidance to the business on necessary actions to achieve regulatory compliance, addressing any issues arising from monitoring reports.
- Work in collaboration with local and Group teams:
- Produce the annual LOESA Compliance Risk Assessment:
- Capture relevant regulatory requirements;-
- Evaluate inherent and residual risks;-
- Summarize results in presentation.- Perform Surveillance Activities:
- Investigate Market Abuse or Sanctions-related alerts;-
- Log and control staff personal transactions / Gifts & invitations.- Share Compliance expertise with the team, providing support, guidance and training when needed.
- Continually improve Compliance Review systems and processes, with a focus on business service levels, productivity, efficiency and customer service.
Profile
You have a minimum of a Degree in Law, Economics or Finance and an Additional professional certification (CIA, CISI, ICA) is an advantage. At least 3 years relevant experience in Financial Services in the public or private sector and more specifically in Private Banking. You also have an experience in a Compliance or Audit role, ideally involving performing Monitoring reviews.
You have the skills and Knowledge inherent to this position:
- Excellent organizational skills
- Strong analytical expertise
- Good presentation, writing and reporting skills
- Self-motivated and team oriented
- Able to take initiatives and work independently
- English compulsory and French highly desirable
- Flemish, Italian or Spanish an advantage
If you recognise yourself in this description, then please do apply. We look forward to hearing from you.
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