Compliance Officer
il y a 6 jours
Our client is searching for an experienced Compliance professional to join our Compliance team as an Officer. The Compliance Officer will assist the company to operate following applicable regulations. The Officer will be part of a small and extremely collaborative team which prides itself in...
**Description**
Our client is searching for an experienced Compliance professional to join our Compliance team as an Officer.
The Compliance Officer will assist the company to operate following applicable regulations.
The Officer will be part of a small and extremely collaborative team which prides itself in producing high-quality work, and will assist and report to the Chief Compliance Officer on several compliance tasks within the team.
Responsabilities:
- Assist with maintaining the compliance framework;
- Assist with the firm's compliance regarding AML/CFT requirements and completion of AML risk assessments;
- Monitor AML/CFT on an ongoing basis;
- Monitor the management of new entrants by supervisors within the firm;
- Help update procedures to effect any changes in regulation/legislation;
- Keep on top of new CSSF thematic reviews and guidance to the industry;
- Provide compliance support to various areas within the firm;
- Help prepare quarterly compliance reports to the board;
- Help provide compliance training in Compliance Induction, AML, Conflicts of Interest, Suitability, Market Abuse;
- Assist with daily administration of the compliance function;
- Aid certain aspects of CSSF regulatory reporting for both our organization and its branches in other European jurisdictions;
- Help with compliance monitoring programme and overseeing outsourced activities.
**Profile**
- 2+ years of regulatory compliance and compliance advisory experience;
- AML/CFT background desirable;
- Experienced in reading, understanding, and summarizing lengthy regulatory publications in simple language;
- Ability to educate first-line departments on regulatory matters and handle challenges from individuals in the business;
- Understanding knowledge of investment suitability and financial promotions regulations;
- Understanding of financial markets, financial instruments, and market awareness;
- Understanding of discretionary portfolio management, asset management, pension advice, and regulatory requirements relating to retail and professional clients;
**Offer**
Our client offers a permanent contract.
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