Head of Compliance
il y a 4 semaines
Well established Global Capital Markets firm based in Paris, France are hiring for a Head of Compliance role.
- Monitoring of relations with regulators (relationship management, dashboard, centralisation of information, preparation of visits) and intervene with professional associations (AMAFI).
- Participate in the application and monitoring of the ethics, compliance and risk prevention, market integrity, etc.
- Translate regulatory compliance provisions into standards, internal tools and procedures.
- Analyse areas of vulnerability and financial non-compliance risks, legal, environmental, reputational, operational (error, fraud, corruption).
- Update risk mapping, identify control points.
- Centralise incident reports, analyse and summarise them, and report your findings to management support and training of operational staff.
- Raise awareness and train managers and operational staff on the issues compliance, internal control and associated risks. Ensure respect by employees of the applicable ethical rules (code of conduct, gift policy, etc.), and identify situations of conflict of interest possible.
- Advise, in conjunction with the legal department, CRO Group, the operational on the application of laws, regulations, standards, Implementation of internal controls.
- Participate in improving governance processes and methodologies job.
- Participate in investigations and inspections by supervisory authorities.
- Carry out a prior examination of the conformity of operations, services or new products, carrying out first level controls as well as compliance with the compliance in general. Monitoring of compliance plans.
- Define areas for improvement, manage remediation plans.
- Participate in the validation of the compliance reports of the various entities.
- Write regulatory statements and AMF and ACPR reports (compliance, audit, due diligence)
- Ensure prudential monitoring (good practices in the profession), update standards and internal rules according to developments.
- Exercise the role of Tracfin correspondent with the Banque de France (fight anti-money laundering).
- Collaborate on cross-functional projects such as control automation internal, followed by MIF reporting and requirements.
- Graduate with Risk or Compliance, you have acquired a minimum of 5 years of experience on one of these subjects and you have ideally management experience.
- You have a good knowledge of principles of compliance and regulatory obligations, trading orders on financial markets and governance principles.
- In addition, your level in English is fluent. In addition, your analytical and synthesis skills, your rigor and your ability to managing risk, combined with your ability to adapt will be all assets for progress in this position.
- RCSI registered.
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