My clients, an international Investment manager, are looking for a Compliance Officer to join the Compliance team to continue building and enhancing both the French but global risk and compliance framework. The individual with take primary responsibility for oversight of permanent control together assisting the Compliance Director with the firm wide operational risk assessment and operational due diligence requests They will also be responsible for performing operational due diligence reviews to ensure all processes & controls meet the minimum standards required to make an investment.
Compliance
- Support the Head of compliance France with the implementation of systems and controls
- Provide day-to-day support to all internal stakeholders on any issues around compliance and regulation
- Understand, monitor and review all developments within the regulatory environment, identifying development needs within the business and ensure any requirements are communicated and implemented in a timely manner
- Coordinate with the compliance team in other jurisdictions to anticipate required changes to the compliance manual, training and compliance monitoring program
- Work collaboratively with business/functional line management in recommending, developing and executing on business initiatives within permissible statutory and regulatory frameworks.
- Perform gap analysis of regulatory thematic reviews and take the lead/assist in implementing remedial actions
- Monitor and measure compliance risk through a robust control framework and ensures that reviews are conducted consistently across entities on a regular basis to confirm that controls identified are operating effectively
General day to day tasks include:
- Preparing and submitting trading related filing requirements, such as EU Short-Selling, EU Disclosure & Transparency Rules ("DTR"), SEC 13H.
- Management of new joiner set up:
- Set up on compliance systems
- Arrange and conduct new joiner induction training.
- Monitoring employee personal trading activities, gifts & entertainments, and outside business interests.
- Monitoring employee electronic communications, escalating items of concern to Global CCO.
- Support Global CCO in the completion of KYC & due diligence activity, 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 with vendor oversight reviews.
Global operational risk framework
- 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.
KYC and due diligence process
- Implement and manage the KYC/AML process.
- Conduct ongoing monitoring reviews & manager visit reports with invested managers to ensure all processes are being followed & high standards are being maintained.
- Assist with other vendor oversight & due diligence processes as required.
