Compliance Officer
il y a 19 heures
Our client, an international investment manager, is seeking a Senior Compliance Officer to join their Compliance team in Paris. The successful candidate will play a key role in building and enhancing the firm's global risk and compliance framework.
Key Responsibilities:- Support the Head of Compliance France in implementing systems and controls to ensure compliance with regulatory requirements.
- Provide day-to-day support to internal stakeholders on compliance and regulatory matters.
- Monitor and review regulatory developments, identifying areas for improvement and ensuring timely implementation of new requirements.
- Collaborate with the Compliance team in other jurisdictions to anticipate changes to the compliance manual, training, and monitoring program.
- Work with business/functional line management to recommend and develop business initiatives within statutory and regulatory frameworks.
- Perform gap analysis of regulatory thematic reviews and lead/assist in implementing remedial actions.
- Monitor and measure compliance risk through a robust control framework, ensuring consistent reviews across entities.
- Prepare and submit trading-related filing requirements, such as EU Short-Selling and EU Disclosure & Transparency Rules.
- Manage new joiner setup, including compliance system setup and induction training.
- Monitor employee personal trading activities, gifts, and entertainments, and outside business interests.
- Monitor employee electronic communications, escalating items of concern to the Global CCO.
- Support the Global CCO in completing KYC and due diligence activities, as required.
- Provide real-time advisory compliance support.
- Produce MI for monthly governance meetings.
- Complete the Compliance Monitoring Plan (CMP) tasks in a timely manner.
- Escalate any anomalies/issues.
- Extract information on staff in other regions, as required.
- Support onboarding and monitoring of alternative data providers.
- Support vendor oversight reviews.
- Participate in the design and implementation of the Company's risk framework.
- Contribute to the updating of the risk map.
- Oversee the identification and assessment of the Company's key compliance risks.
- Ensure compliance risks within France are effectively identified, measured, monitored, and controlled, consistent with the bank's risk appetite statement and all policies and processes established within the risk governance framework.
- Implement and manage the KYC/AML process.
- Conduct ongoing monitoring reviews and manager visit reports with invested managers to ensure all processes are being followed and high standards are being maintained.
- Assist with other vendor oversight and due diligence processes, as required.
Location: Paris (hybrid)
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