Compliance Assurance Officer
il y a 1 mois
A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF 300 billion and operating from over 25 offices across 4 continents.
With a history spanning over 225 years, Lombard Odier is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide advanced banking technology to other financial institutions.
“Rethink Everything” is our philosophy - it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients.
Group Compliance Assurance is a dedicated team within Lombard Odier's Compliance department. Under the leadership of the Head of Group Compliance Assurance in Switzerland, the team (based in Switzerland and Luxembourg) is responsible for implementing the consolidated compliance assurance plan of Group Compliance for the Swiss and foreign entities and offices. The scope of the team's activities is in line with the mandate of the Compliance Department and focuses primarily on risks related to financial crime (including money laundering, bribery and corruption), sanctions, external and internal fraud, conduct (including market abuse and conflicts of interest) and regulatory compliance. The team's activities are forward-looking, with a view to translating the results of risk-based assurance activities into measurable improvements in the compliance control environment.
YOUR ROLE
Based in Luxembourg and reporting to the Head of Group Compliance Assurance, you will assess (i) the design and operating effectiveness of relevant controls; (ii) compliance with applicable laws and regulations and adherence to internal policies for Lombard Odier (Europe) S.A. ("LOESA") as follows
- Contribute to the development of the Annual Compliance Assurance Plan for LOESA, including a balance of control testing, thematic reviews and branch reviews, based on the results of the prior year's compliance risk assessment and other relevant elements
- Develop the testing and review plans, including maintaining an inventory of test scripts.
- Distribute the announcement and terms of reference to relevant units or functions and other stakeholders.
- Perform and/or supervise testing and/or review activities
- Evaluate test and review results and communicate preliminary findings to stakeholders
- Document findings and their disposition as issues and actions in consultation with issue owners.
- Finalise and distribute reports to stakeholders
- Monitor the completion of issues and actions through to issue closure for management reporting.
- Prepare and report programme metrics as required
- Coordinate compliance assurance activities with other second line of defence units and Group Internal Audit
- Provide advice and guidance to the front office on actions to improve compliance in relation to the results of testing and reviews
- Propose and contribute to projects to continuously improve the control environment for compliance-related risks and other relevant cross-functional initiatives
An important part of your role will be to facilitate an open exchange on the Annual Compliance Assurance Plan with your stakeholders, including LOESA Authorised Management, local compliance functions, local managing directors, other local senior management, front office staff and Group and/or local support functions.
In accordance with Lombard Odier's professional standards, you will be expected to comply with all applicable legal, regulatory and internal compliance requirements, including but not limited to the LOESA Code of Conduct and Compliance Policies and Procedures. You will also be expected to maintain all professional certifications, as applicable, to be fully qualified to perform your role, including completing all mandatory training required to obtain and maintain such certifications.
YOUR PROFILE
- Required _qualifications/education_
- Degree in law, economics, finance or a related field
- Additional professional certification in compliance an advantage
- Experience/knowledge required_
- Solid understanding of EU and Swiss regulatory environments
- At least 7 years of relevant experience in financial services in the public or private sector, with particular exposure to private banking
- Experience in a compliance or audit role involving control activities, including monitoring, testing and/or thematic reviews
- Technical and interpersonal skills_
- Analytical thinker with the ability to prioritise multiple tasks, work under pressure and meet tight deadlines
- Ability t
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