Local Head Compliance
il y a 4 semaines
Your tasksAssist the entity/branch in managing Compliance (i.e. AML/CTF, Sanctions, Markets Compliance, Anti-Fraud, ABC, ATEF and 3rd party risk) requirements set out in:- relevant German/local – whichever is stricter – law and regulations,- global policies set forth and the standards communicated by GRM-CO,- any existing Memorandum of Understanding and Service Level Agreement entered into between GRM-CO and the entity/branch the employee is working for.Licensed/authorized function where the jobholder has to demonstrate to the local authorities the competence to perform the purpose of his/her role and adequate knowledge of the relevant sections of the local authorities rulebook in his/her function as Compliance Officer and/or Money-Laundering Reporting Officer.Foster continuous international interaction and cooperation. Dotted reported line to local Branch Management whilst direct report line will be Head of Western Europe Compliance.Be responsible for leading the Junior/Intermediate/Senior Local Compliance Officer(s).facilitate Compliance of the entity/branch with applicable statutory and regulatory requirements regarding AML/CTF, Sanctions, Markets Compliance, Anti-Fraud, ABC, ATEF and 3rd party riskprovide advice to and liaise with local management on Compliance topicsconduct observation and analysis of local developments in statutory and regulatory requirements regarding AML/ CTF, Sanctions, Markets Compliance, Anti-Fraud, ABC, ATEF and 3rd party riskcarry responsibility for MaRisk screening function as stipulated in the Implementation Guideline MaRisk Compliance Functionreport to local management, while organizational reporting line will be to the Head of Western Europe Complianceupdate Head Office as well as managers/parties of the entity/branch on regulatory changes with relevance to their respective area of responsibilitycarry responsibility for advising and supporting on local implementation of centrally determined Compliance policies and procedures in a country-specific and business-specific mannerliaise with regulators and authorities on Compliance issues on a regular basis in close collaboration with Head Office, incl. respond to requests for information in due course and inform on breaches as requiredanalyse/support analysis of the business activities in the entity/branch in order to assess existing Compliance risks on a regular basismanage the performance and coordination of all applicable Compliance Risk Assessments for the entity/branch as stipulated in the Compliance Risk Assessment Methodology document and determined by responsible Global Compliance functionidentify local training needs and facilitate relevant training sessions to the employees of the entity/branchhandle the preparation of regular and ad-hoc reports to Group Compliance and local management on the performance of Compliance activities as well as on detected Compliance breaches and shortcomingscoordinate internal/external audits and audits/reviews by authorities and reconciliation of audit reportsconduct Compliance Reviews according to Compliance Review Planguide and perform Compliance procedures as applicable for location, e.g. New Product Process and support projects of Group Compliance or any other tasks assigned by the Head of Western Europe Complianceprovide Management assurance by continuously testing adherence to Compliance rulesassess and approve High Risk Customers from the KYC-scoring as well as Politically Exposed Persons (PEP), as well as assess and approve business partners in line with ABC policies and procedurescarry responsibility for the performance of AML/ CTF transaction monitoring, processing of hits, handling of cases, and Suspicious Activity Reporting (SAR); ensuring appropriate investigation of hits and proper and timely filing of SARs which have sufficient quality of information to aid law enforcementbe in charge of reviewing sanction hits, performing appropriate and timely investigation to ensure that transactions are held, blocked, rejected and reported in an effective manner and process decisions in accordance with statutory provisions and the business policy of the Bank in consultations with Head Office, where requiredexamine and evaluate high risk documentary and guarantee business with regard to sanctions and AML risksbe responsible for leading the Junior/Intermediate/Senior Local Compliance Officer(s)Your profileUniversity degree or similar, preferably in banking, general management or law5+ years overall financial industry experience and experience in Compliance or a relevant fieldExperience with Commerzbank systems and organizational culture and branch operations is an advantagePrevious managerial experience is a distinct advantageStrategic orientationTeam and crisis management skillsCustomer service orientationChange orientationInitiative and goal orientationAnalytical skillsDecision- making skillsPersuasivenessGood command of written and spoken French and English language.The companyCommerzbank opened its French branch in Paris in 1976 and became part of the Dresdner Bank branch in 2009. Its presence in France for several decades has allowed it to understand the French market, considering its particularities and rules. This in-depth knowledge of the market, combined with solid financial expertise, makes it possible to offer large French companies as well as French subsidiaries of international groups all the services of both commercial and investment banking.ContactIf you recognise yourself in this profile and you are interested in the position we are offering, please send us your online application documents.
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