Senior Compliance Officer

Compliance Department of a Credit Institution

IHRE AUFGABEN

• Support to the team in place in the implementation and monitoring ofcontrols dedicated to prevent a full range of risks/legal requirements
• Follow up and documentation of compliance checks and internal preventive investigations initiated by department’s head
• Analysis and impact assessment of any relevant regulatory instrumentissued by the CSSF/BCL/CIMA or any other relevant Lawmaker or RegulatoryAuthority
• Assistance with all AML/CTF responsibilities (ML/TF risk assessmentprior to Client take-on and ongoing due diligence monitoring)
• Promotion of Compliance and Ethical culture and increase awareness throughout the organization.
• Monitoring of the Key Risk indicators relating to compliance risk
• Assistance in maintaining appropriate relationships with Regulatory Authorities
• Maintenance of compliance related key documents (Charters, Policies, and Procedures)
• Performing an oversight on Compliance delegated activities (knowledge of investment restrictions applicable rules is an asset)
• Assistance in the implementation of major compliance projects as well as in the performance of due-diligence missions

IHR PROFIL

• Minimum Bac+5 (Master’s Degree) in Law
• An experience of at least 3 years in the Compliance Department of aCredit Institution (alternatively Internal Audit or Risk Controlfunction) or similar experience
• Knowledge of the Fund industry and related operational flows is considered as an asset
• Be well-organized (highly systematic), dynamic, initiative taker, and detail-oriented
• Have a high sense of ethics, a positive attitude, and good writing skills
• Fluency in English and good command of French
• Highly professional approach and quality minded

Tags Compliance Department of a Credit Institution

Stellenangebot

Senior Compliance Officer Intrim; Frankfurt Compliance Department of a Credit Institution mindestens 5 Jahre Berufserfahrung

IHRE AUFGABEN

• Support to the team in place in the implementation and monitoring ofcontrols dedicated to prevent a full range of risks/legal requirements
• Follow up and documentation of compliance checks and internal preventive investigations initiated by department’s head
• Analysis and impact assessment of any relevant regulatory instrumentissued by the CSSF/BCL/CIMA or any other relevant Lawmaker or RegulatoryAuthority
• Assistance with all AML/CTF responsibilities (ML/TF risk assessmentprior to Client take-on and ongoing due diligence monitoring)
• Promotion of Compliance and Ethical culture and increase awareness throughout the organization.
• Monitoring of the Key Risk indicators relating to compliance risk
• Assistance in maintaining appropriate relationships with Regulatory Authorities
• Maintenance of compliance related key documents (Charters, Policies, and Procedures)
• Performing an oversight on Compliance delegated activities (knowledge of investment restrictions applicable rules is an asset)
• Assistance in the implementation of major compliance projects as well as in the performance of due-diligence missions

IHR PROFIL

• Minimum Bac+5 (Master’s Degree) in Law
• An experience of at least 3 years in the Compliance Department of aCredit Institution (alternatively Internal Audit or Risk Controlfunction) or similar experience
• Knowledge of the Fund industry and related operational flows is considered as an asset
• Be well-organized (highly systematic), dynamic, initiative taker, and detail-oriented
• Have a high sense of ethics, a positive attitude, and good writing skills
• Fluency in English and good command of French
• Highly professional approach and quality minded

Tags Compliance Department of a Credit Institution Für weitere Informationen steht Ihnen gerne Frau Nicole Schmidt zur Verfügung.
MC Interim-Jurist.de
Vischerstr. 4
D- 71601 Ludwigsburg
bewerbung@interim-jurist.de
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