Compliance Director

il y a 7 jours


Luxembourg NonStop Consulting Temps plein

Our client is a growing company with new products in place and very concrete expansion ambitions.

**The job**:
Design, build and implement a compliance framework to ensure the Company meets its regulatory responsibilities.
Establish and maintain appropriate policies, procedures, systems and controls in relation to regulatory compliance and financial crime.
Design and implement a Compliance Monitoring Plan to assess those systems and controls and work with the Group Internal Control Team to deliver the programme and provide remediation plans where required.
Liaise with all areas of the business to provide sound advice and guidance in relation to regulatory matters and consider the regulatory risks associated with new business initiatives.
Deliver expert technical and regulatory support to the Board of Directors, as required, to enable them to make strategic decisions within the relevant regulatory framework.
Deliver a training and competency framework across the Company.
Effectively deal with any complaints raised by clients.
Oversee the outsourcing of client money systems and controls.
Be directly responsible for the client on-boarding process, manage any outsourcing arrangements in this regard and review and investigate any higher-risk clients where required, including PEPs.
Review and sign off all financial promotions.
Provide detailed management information to the Board, including the delivery of KRIs/KPIs.
Provide detailed management information and reporting to Group Head of Compliance.
Act as a point of contact for regulatory bodies, auditors (both internal and external), group companies and external organisations, as appropriate and provide relevant reports where required.
Keep up to date with key changes to regulation and legislation that will impact the business.
Provide support and guidance to the Compliance Team and take responsibility for the development of individual team members.
Serve as a member of the Risk and Audit Committees, as appropriate.

**Requirements**:
Strong academic background, educated to degree level or equivalent, preferably law, economics or business.
5-8 years compliance experience gained within an EU regulated firm,
Thorough understanding of the legal and regulatory framework in which the Company operates (Fintech/Trading),
Gravitas to command respect of colleagues on sometimes contentious issues.
Business empathy - ability to see and respond to all sides of a debate.
Position yourself as teh Leader in regards to Onboarding and Compliance matter in the structure.
Ability to communicate in Englishand an other EU language at all levels both orally and in writing.
If you are interested please do respond to this advert Feedback guaranteed in 48 hours and if the profile matches a simple online and efficient process with CEO & Global head can see the light oin the next three to four working days maximum.


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