Compliance Officer Asset Management Specialist
il y a 5 jours
Rothschild & Co Asset Management is a leading international financial services group, controlled by the family for seven generations and at the heart of the financial markets for over 200 years.
Our expertise, our know-how, and our global network enable us to offer a unique vision that benefits the activity and wealth of our clients and stakeholders, while respecting our planet.
Our teams of 4,200 financial advisory specialists, present on the ground in over 40 countries, bring a unique international vision through four leading activities - Global Advisory, Wealth Management, Asset Management, and Five Arrows.
As a family-owned group based on human relationships, we attach great importance to the recruitment and career development of our employees, so that they can flourish in their professional journey.
About Rothschild & Co Asset Management
A specialized division of Rothschild & Co, we offer customized asset management services to a wide range of institutional investors, financial intermediaries, and distributors. We develop our activities around a range of open-ended funds, marketed under four strong brands: Conviction, Valor, Thematic, and 4Change, and benefiting from our long-term expertise in active and conviction management as well as delegated management. Based in Paris and established in 9 countries in Europe, we manage over €23 billion and bring together nearly 160 employees.
Key Responsibilities- Under the responsibility of the Deputy Head of RCCI, you will participate in the following missions:
- Monitoring the organization and functioning of the asset management company on all regulatory issues:
- Linking with the Legal Department on the follow-up of funds.
- Participating in the establishment of responses to reports or questionnaires from regulatory authorities.
- Assisting and advising the company's teams on all compliance matters; prevention in the implementation of new projects, businesses, or products.
- Advising foreign commercial teams on the compliance of their practices with applicable local regulations.
- Carrying out initial and follow-up diligence on third parties and partners (advisory in/out, delegates, distributors, sub-distributors, etc.).
- Participating in responses to tenders and audits of institutional prospects/clients of R&CO AM.
- Ensuring regulatory monitoring in liaison with the Legal Department, informing/analyzing sanctions and/or new texts concerning the activities developed by the company and ensuring their application within the organization.
- Ensuring the existence and compliance of regulatory procedures.
- Verifying the compliance of marketing/distribution communication or advertising actions, validating commercial documents, and the content of websites and extranet.
- Managing any potential incidents or non-compliance with investment limits (escalation, analysis, action plan, follow-up, and potential indemnification).
- Participating in the production of internal and external compliance reports:
- Internal reporting to management and the Group
- General and special reports for regulatory authorities (FRA-RAC, RACI, QLB, Report to CONSOB, inquiries, observation letters, etc.).
- Compliance reporting to institutional investors.
- Ensuring the follow-up of recommendations (internal/external audit, CAC, depositaries, etc.).
The above actions are carried out in complete coordination with the company's operational control teams, the Risk Management Department, the Legal Department, and the operational managers of R&CO AM.
Requirements- You hold a Master's degree in Law or Finance with a strong interest in regulation.
- You have 2 to 7 years of experience in a compliance service, internal control, audit, inspection, legal, or specialized consulting/audit firm in the financial sector.
- You have a good knowledge of financial markets and European and French regulatory frameworks (MiFID, OPCVM, AIFMS, FDR, etc.).
- You are recognized for your sense of confidentiality, integrity, prioritization, autonomy, versatility, and flexibility.
- You can demonstrate diplomacy, tenacity, pedagogy, and communication skills at different levels of the organization.
- You have an excellent sense of organization, rigor, and writing skills.
- Finally, you have a good level of English.
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