Compliance Officer
Il y a 2 mois
A career at the Lombard Odier Group is something to be proud of. Our mission is to protect and grow our clients’ wealth - but not by any means necessary. Sustainability is at the heart of everything we do and we treat our clients’ wealth as if it were our own. We protect our clients’ assets for the long-term using expertise and innovation, all underpinned by our Rethink Everything philosophy. Our colleagues are the foundation of our success. We employ people at different life stages, from graduates to executive level leaders. The one thing they all have in common is that they seek to challenge the status quo, are imaginative and have the ability to offer a fresh perspective.
We are looking for a Compliance Officer for Lombard Odier (Europe) S.A. (LOESA), to oversee the Compliance Function for the Belgian branch, based in Brussels.
Key Responsibilities - Ensure Compliance at the Belgian Branch’s level- Ensure the daily business, such as:
- Perform the Money Laundering Reporting Function, including training for employees, appropriate provision of information to senior management, appropriate measures to ensure the effective control of- money laundering
- risk within the firm’s day-to-day operations, including the taking-on of new customers within the local regulatory, LOESA and Group standards and changes to the firm’s business profile.- Participation within the Local Due Diligence Committee (CODIL) and- Escalation of cases of high risk clients to and participation in the European CODIL (in case of need);- Advisory on AML/CTF and compliance related matters relevant to the financial services industry- Local Complaint management- Act as a central point of reference and expertise on compliance matters in Belgium. Provide advice proactively on Belgian financial services compliance matters in connection with both existing and new business proposals (liaising as necessary with the LOESA CCO).- Escalate any material compliance/regulatory concerns or issues to the COO of the Belgian branch and LOESA CCO as required.- Ensure that senior management is supplied with adequate information to assess the AML risk to which the bank is exposed and provide assurance that the internal procedures are identifying and mitigating that AML risk- Promote awareness amongst staff of individual and corporate regulatory requirements and developments in order to strengthen the compliance culture while having regard to business strategy.- Ensure Compliance with current laws and regulations at the Branch Level:
- Maintain awareness of regulatory/compliance developments, assess the impact to the business and initiate necessary changes or seek to ensure that relevant managers initiate such changes.- Oversee the operational effectiveness of the firm’s systems and controls that are designed to achieve compliance with the rules.- Ensure submission of all regulatory reports to the competent authorities in due time.- Keep regularly update on regulatory developments as well as regulator’s and industry practices so as to better assess potential compliance risks and needs, and adequately advise senior management- Assess the impact to the business and initiate or ensure that relevant changes are initiated.- Act as a central point of reference and expertise on compliance matters:
- Provide advice proactively on financial services compliance matters in connection with both existing and new business proposals.- Escalate any material compliance/regulatory concerns or issues to the local Executive Committee, to the LOESA Authorized Management or the LOESA Board of Directors, including its Chairman.- Maintain awareness of regulatory / compliance developments:
- Assess the impact to the business and initiate necessary changes- Ensure that relevant managers initiate such changes.- Provide to staff, as appropriate, an awareness of individual and corporate regulatory requirements and developments in order to strengthen the compliance culture while having regard to business strategy.- Promote the highest ethical standards required of staff and to ensure staff meet the requirements of the Compliance Manual and the relevant regulatory rule.- Exercise all necessary diligence and control in daily operational role to ensure client asset safety.
This includes but is not limited to:
- effective governance, communication and escalation,- diligence in exercising of operational control functions,- attendance of relevant training where requested- maintaining ongoing competence in the role exercised and- being familiar with all relevant policies and procedures in the relevant business area.
Skills and knowledge requirements- Qualification / education required: Degree or ‘A’ levels followed by appropriate market, relevant working experience. Law degree desirable.Experience Required: 7-10 years of experience in a similar role in the financial services sector, preferably within the Private Banking and External Asset Manager industry.Competencies / soft
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