Associate Compliance Officer
il y a 3 semaines
About the Role
To provide, develop and communicate Legal and Governance support and services in order to insure compliance with corporate governance, oversight requirements and/or laws and regulations and minimize legal exposure to risks.
Regulatory changes have heavily impacted the financial industry across the globe. As a key industry player, we want to ensure we operate in compliance with the rules, regulations and applicable laws, that Swift’s policies and procedures are being respected and that the behaviour within Swift meets our internal Code of Conduct and all regulatory-driven controls.
The Associate Compliance Officer reports to the Head of Compliance. This function is also typically seconding various experts in critical domains such as Regulatory Compliance, Sanctions & Export Controls, Corporate Investigation and Data Protection.
Amongst other things, the Associate Compliance Officer will
- Perform Sanctions and Export Control checks on day-to-day business transactions and perform periodic mass assessments.
- Provide assistance to the Head of Investigation or the Head of Compliance in conducting corporate investigations.
- Provide assistance to the Data Protection Officer on privacy and data protection matters.
- Maintain various awareness trainings, organize them and oversee completion of e-learning modules, give local training sessions to targeted audiences.
- Act as a contact and provide guidance to local / regional teams in terms of compliance requirements.
- Maintain a repository of compliance controls and related information such as risks, evidence, issues, owners and actions.
- Collect and maintain compliance-related reports and notifications from business and operational teams. Assist in providing monthly and quarterly compliance reports.
- Monitor or manage/coordinate specific compliance projects.
- Assess compliance of relevant controls in the supply chain.
- Assist in providing compliance assurance to the procurement or compliance departments of our customers and business partners.
- Write procedures and policies in its domain of expertise.
As a member of the Legal & Compliance team, you may also be exposed to and contribute to other legal and compliance related matters, such as reviewing and testing the Dawn Raid procedures, supporting the legal operations team, providing support in drafting training material, managing tools, liaising with external vendors, conducting risk-assessment, etc.
This entry level function offers the possibility to grow and take on more responsibilities over time in terms of following up on certain regulations, assessing applicability and translating the essence into clear and concise advice, assisting management in designing the right, effective controls and capturing ongoing assurance.
This role can be expected to travel at least 10 - 15%.
Essential Skills/Basic Qualifications
- A Bachelor/University Law degree or equivalent legal experience demonstrating a deep understanding of multi-jurisdictional legal issues/requirements arising in the context of Regulatory compliance, anti-bribery and corruption, sanctions & export controls, privacy and data protection, competition law and speak-up/whistleblowing/investigations.
- Impartial by nature and at ease with ethical dilemma
- Capable of ensuring full confidentiality of its work and trust enabler
- Relevant experience in compliance related matters is a must
- Experience of operating at various levels within the organisation (e.g. senior levels, remote employees) and with external vendors (such as law firms, authorities, third-party vendors)
- 3+ years of experience
- Organised, passionate for continuous improvement and high-quality work deliverables.
- Inclusive, collaborative, delivery-focused and with strong stakeholder management skills
- Operational excellence skills (e.g. capable of building relevant reports, continuous improvement mindset) & project management experience.
- Operational and strong leadership skills
- Stress resistant and capable of multi-tasking in a fast-moving environment
- Strong communication skills (written and oral) and strong presentation skills
- Familiarity with handling sensitive regulatory matters and with risk management methodologies
- Remain respectful and diplomatic in the face of difficult and uncomfortable situations surrounding an investigation.
- Curious and open-minded, able to investigate in multiple jurisdictions, across geographical and cultural boundaries, without being pedantic or prosecutorial.
- Able to cross-examine reports and evidence, provide direct feedback and confront witnesses with difficult information.
- Able to quickly digest and analyse large amounts of information and reach decisions on judgemental issues relevant to the whistleblowing program and the investigative work that underpins it
- Has the ability to operate with a limited level of direct supervision and can demonstrate independence of judgement and autonomy
Desirable Skills/Prefe
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