Compliance Officer/ Capital Market

il y a 5 jours

Paris, Île-de-France Lotus Partners Temps plein

Description de poste

For one of our clients, an investment firm based in Paris, we are looking for a:

COMPLIANCE OFFICER - CAPITAL MARKET

Job description

  • Provide compliance oversight and advisory support on client suitability, product eligibility, and business model alignment in accordance with MiFID II requirements.
  • Ensure regulatory compliance with MiFID II, MiFIR, and MAR, including market surveillance activities.
  • Oversee Anti-Money Laundering and Counter-Terrorism Financing matters at Group level, including the maintenance of policies, procedures, and risk assessments.
  • Review and validate high-risk clients and complex cases, and ensure appropriate monitoring of existing client relationships.
  • Support and coordinate AML/CFT training for Front Office staff.
  • Maintain and continuously enhance the Compliance Monitoring Programme in line with Group standards and regulatory expectations.
  • Perform regulatory watch, identify non-compliance risks, and contribute to risk measurement and control plan updates.
  • Ensure proper integration of non-compliance risks into the overall risk mapping framework.
  • Actively contribute to the digitalisation of compliance processes by leveraging automation and AI tools to improve efficiency and reduce low value-added tasks.

Required profile

  • University degree or business school background in business administration, law, or finance.
  • Minimum 10 years of experience in a Compliance role within an investment firm under AMF supervision.
  • Strong ability to identify issues, analyse root causes, and propose pragmatic solutions.
  • Solid business understanding and awareness of regulatory, risk, and control matters.
  • Previous experience in audit is considered a strong advantage.
  • Fluent in both French and English.

All files will be treated with the utmost confidentiality.

  • AVP-Markets Compliance Officer

    il y a 1 heure

    Paris, Île-de-France MUFG Temps plein

    Do you want your voice heard and your actions to count?Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships,...

  • Senior Compliance Officer Advisory

    il y a 7 jours

    Paris, Île-de-France Natixis Corporate & Investment Banking Temps plein

    de l'entrepriseInstitution financière internationale de premier plan, Natixis Corporate & Investment Banking met à disposition des entreprises, institutions financières, fonds d'investissement, agences souveraines et supranationales une palette de services en conseil, investment banking, financements, banque commerciale et sur les marchés de capitaux.Ses...

  • Consultant Capital Market

    il y a 1 semaine

    Paris, Île-de-France Nairod Advisory Temps plein

    Nairod Advisory accompagne son client dans le recrutement d'unConsultant Capital Marketspécialisé Front Office et transformation des systèmes d'information.Objectif de la mission:Intervenir au cœur des équipes trading et IT pouraccompagner la transformation du SI marchés, piloter des projets stratégiques et contribuer à la définition des solutions...

  • Compliance Vice President

    il y a 3 jours

    Paris, Île-de-France Sumitomo Group Temps plein

    10 Nov 2025Paris, 75, FR, 75008Who we areUnited by a sense of purpose towards our customers – to be a trusted partner for the long-term – and our universal banking platform in EMEA, SMBC Group has an international growth agenda and award-winning products, meaning we provide exciting opportunities to work on a diverse range of projects and initiatives. We...

  • Compliance Officer

    il y a 1 semaine

    Paris, Île-de-France Vivid Temps plein

    About VividAt Vivid, we're reimagining how individuals and businesses manage money. Our all-in-one app opens up a world of financial possibilities: manage your day-to-day payments, invest in global stocks, ETFs, and over 150 cryptocurrencies, earn cashback on everyday purchases, and access personalized insights to make the most of your finances - all...

  • Compliance Officer

    il y a 1 semaine

    Paris, Île-de-France Vivid Temps plein

    About Vivid At Vivid, we're reimagining how individuals and businesses manage money. Our all-in-one app opens up a world of financial possibilities: manage your day-to-day payments, invest in global stocks, ETFs, and over 150 cryptocurrencies, earn cashback on everyday purchases, and access personalized insights to make the most of your finances - all...

  • Compliance Officer

    il y a 1 jour

    Paris, Île-de-France Vivid Temps plein

    About Vivid At Vivid, we're reimagining how individuals and businesses manage money. Our all-in-one app opens up a world of financial possibilities: manage your day-to-day payments, invest in global stocks, ETFs, and over 150 cryptocurrencies, earn cashback on everyday purchases, and access personalized insights to make the most of your finances - all...

  • Compliance Officer

    il y a 1 jour

    Paris, Île-de-France BNP Paribas Temps plein

    La conformité CIB est une fonction indépendante chargée de fournir des conseils spécialisés et un soutien à la direction générale, aux secteurs d'activité et aux fonctions pour le respect des contrôles internes et des règles externes et la gestion des risques de conformité.La fonction agit généralement comme une deuxième ligne de défense...

  • Compliance Advisory

    il y a 5 jours

    Paris, Île-de-France Jacobson Garner Temps plein

    Compliance Advisory – Markets (Equities)We are currently seeking an experienced and motivated Compliance Advisory professional to join a leading Paris-based Investment Bank within its Markets Compliance team. This role offers a unique opportunity to work at the centre of the trading floor, providing regulatory and conduct support to the bank's Equities...

  • Compliance Officer

    il y a 2 jours

    Paris, Île-de-France Société de Courtage des Barreaux Temps plein

    Contrat : CDIDate : prise d'effet au plus tôtLieu : Paris (déplacements à prévoir au siège social à Eguilles 13510)Statut : CadreTemps de travail : forfait jours (216 jours)Notre entreprise :Cabinet de courtage d'assurance expert dans les risques professionnels et personnels des avocats, nous recherchons un Compliance Officer (chargé de conformité)...