Compliance Analyst
Il y a 4 mois
JLL supports the Whole You, personally and professionally.
**Overview**:
This role will be primarily responsible for maintaining the compliance framework, assessing standards of compliance and providing compliance advice to LaSalle’s Paris office. LaSalle’s Paris office is authorised as an AIFM by the AMF, has a MiFID top-up and also holds a T-card. LaSalle Paris also has a branch office in Germany.
A key objective of the Legal & Compliance team is to work in partnership with the business teams and senior management in each LaSalle office and the broader LaSalle platform to implement compliance policies in a manner that is proportionate, consistent and adaptive to the needs of the business, whilst mitigating material risks that arise in connection with compliance driven matters.
This is a busy and autonomous business facing role within a successful and dynamic investment management business.
LaSalle’s Legal and Compliance Framework
Without limiting the generality of the above, the scope of the role is broken into several key areas:
Compliance Framework
Continually develop and update compliance systems and policies having regard to LaSalle’s objective of achieving consistent pan-European policies and practices (which minimize complexity and unnecessary gold plating), whilst recognising that local country rules require exceptions or differing approaches.
Update the firm’s regulatory watch, advise relevant staff on the implication of new and updated regulations and oversee the gap analysis and action plan required including updating the AIFM non-compliance risk maps where required,
Identify and assess the compliance risks associated with the organization’s current and proposed future business activities, including new products, new business relationships and any extension of operations.
Develop a new template control forms(and continue to improve existing ones)
Implement the permanent internal control plan (with a particular emphasis on the monitoring of compliance by the firm’s employees of their compliance related obligations) under the RCCI supervision
Prepare periodical and annual reports with respect to the internal controls
Report findings to the RCCI and the business
Communicate findings to the teams, propose improvements having regard to existing business structures and requirements, and ensure follow-up
Discuss and share practices relating to internal control system with other LaSalle offices
Participate to internal committees relevant to internal control such as the Compliance and Internal Control committee
Help maintaining compliance and internal control tools up to date
Participate in creating and updating procedures and especially the paragraphs relating to compliance and to the regulation, having regard to the nature of LaSalle’s business
Help updating cartographies relating to compliance such as AML and conflicts of interest
Conduct KYC in respect of deal counterparties and maintain the process up to date
Review certain commercial documentation (presentation, press releases, investor reports, social media announcements etc.)
Assist the RCCI in providing training on compliance and internal control
Assist the RCCI with maintenance of key compliance documents, internal policies, databases and registers (with a view to ensuring new laws and regulations are respected, whilst also keeping LaSalle’s business “audit ready”).
Provide advice to colleagues from investment management, asset management and other departments regarding compliance matters (including for example, advising on internal compliance requirements, assessing the impact of new AMF rules and EU Directives, assisting with complex KYC issues, conflicts of interests etc).
Overseeing and ensuring all regulatory reporting is completed to a highly professional standard and on time.
Liaise with the internal auditor, overseeing audits and coordinating responses to audit points.
Provide training and coaching on compliance and internal control to employees.
As a pan-European business, work with, and share best practices with, the other Country Compliance Officers.
Outsourcing controlling
Implement and administer the compliance program for oversight of AIFM delegates and other service providers (depositaries, property managers, etc.).
AML/KYC Framework
Maintain, oversee and sign-off KYC and client categorization checks.
Maintain the KYC and sanctions screening framework for counterparties and tenants.
Oversee and prepare relevant analysis and reports on AML issues.
Business support
Respond to compliance questions included in invitations to tenders received from potential clients.
Support new business initiatives and products (both with respect to LaSalle Paris products and also products of other LaSalle offices that might be marketed in France).
Support new business and real estate transactions by reviewing and approving KYC, due diligence in respect of new clients, deal counterparties and tenants.
**Required Qualificat
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