Compliance Officer

Il y a 5 mois

Brussels, Belgique Lombard Odier & Cie Temps plein

A career at _Lombard Odier_ means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF_
- 300 billion and operating from over 25 offices across 4 continents._
- With a history spanning over 225 years, _Lombard Odier_ is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide_
- advanced banking technology to other financial institutions._
- “Rethink Everything” is our philosophy_ - it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients._

Compliance Officer (Brussels, Belgium)

YOUR ROLE

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 to the Local Due Diligence Committee (CODIL);
- Escalation of cases of high risk clients to and participation to the European CODIL (in case of need);
- Advisory on AML/CTF and compliance related matters relevant to the financial services industry;
- Local Complaints management.

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;
- Exercise all necessary diligence and control in daily operational role to ensure client asset safety;
- Promote awareness amongst staff on regulatory requirements and developments in order to strengthen the compliance culture.

Ensure Compliance with current and upcoming morlaws 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 the timely submission of all regulatory reports to the competent authorities;
- 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 on the business and initiate or ensure that relevant changes are undertaken;
- Promote the highest ethical standards required of staff and to ensure staff meet the requirements of the Compliance Manual and the relevant regulatory rules.

Act as a central point of reference and expertise on compliance matters:

- Provide advice proactively on 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 local Executive Committee, to the LOESA Authorized Management or the LOESA Board of Directors, including its Chairman.

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;
- Being familiar with all relevant policies and procedures in the relevant business area.

YOUR PROFILE
- Degree or ‘A’ levels followed by appropriate market, relevant working experience, Law degree desirable;
- 7-10 years of experience in a similar role in the financial services sector, preferably within the Private Banking and External Asset Manager industry;
- Excellent responsiveness and problem-solving skills;
- Innovative, Results-oriented, Strong initiative;
- Excellent written and verbal communications skills;
- Excellent organizational skills, including the ability to lead a multi-jurisdictional department and to manage complex projects;
- Capable and comfortable working independently as well as a team with the broader European and Group Compliance leaders;
- A thorough understanding of the EU and local regulatory environment and regulator’s expectations (including AML and MiFID2 regulatory packages);
- A thorough understanding of the Private Banking busi

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