Compliance Officer
il y a 2 jours
**Compliance Monitoring Officer**
Execute Compliance audits in the context of the yearly Compliance Monitoring program for the Compliance Domain Financial Markets.
Regulations in scope: MiFID & IDD.
Topics can be amongst other: Conflicts of Interests, Inducements, complex investment instruments.
The audit that needs to be performed is described in a testing sheet, including references to the applicable regulations and internal Compliance Rules, and also a clear scope description.
During the Compliance audit a Compliance advisor will be available for guidance.
**Responsibilities**
You will be responsible to execute the Compliance audit on the Compliance Domain with the specified scope in the Compliance Monitoring program. This includes:
- Leading the in-take meeting with business to explain which control will be done, what evidence we need,
- Execution of the controls based on the provided evidence;
- Writing of the report (English) including a description of the tests that have been performed, the findings, the conclusions and the recommendations to the business.
- Leading the take-out meeting with business to explain findings, conclusions and recommendations.
- Follow-up and evaluation of the reactions of management of business on the recommendations (management response and proposed timings)
The controls that need to be performed include both test of design (based on policies, procedures,) and test of effectiveness (is it effectively performed, do the procedures work effectively?).
- Good knowledge of MiFID & IDD
- Experience with audits/investigations
- Skills needed to perform audits on regulatory matters.
**Languages**
English + Dutch
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