The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department in developing, implementing and administering the Company's compliance program.
The individual will act as a Compliance Officer in a generalist capacity and will report to the VP - Compliance Officer in France.
The role will involve:
- Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team,
- Conducting internal investigations (including conducting investigative interviews and preparing investigative reports),
- Supporting Compliance regulatory reporting (preparation and submission of the regulatory reports to the relevant regulatory authorities),
- Preparing periodic regulatory compliance reports, including the internal board reports,
- Supporting management of regulatory requests, including internal preparation for regulatory exams, supporting document requests, participation in business remediation efforts and advising business and management on regulatory responses,
- Developing and reviewing policies and procedures,
- Creating and providing training to staff in conjunction with the global Compliance training unit,
- Leading or participating in various Compliance projects and initiatives, as well as providing Compliance guidance for business initiatives,
- Participating in other core Compliance responsibilities as necessary.
MIS - EMEA Compliance Department
- 5+ years of experience within a financial industry regulator, law firm and/or Compliance department of a regulated financial services firm;
- Fluent oral and written English and French to a business standard;
- Strong interest in Compliance work;
- Excellent written and verbal communication skills.
We will also be looking for the individual to have the following skills:
- Highest ethical standards;
- Professional, pro-active, flexible, diligent and dependable;
- Computer competence in Word, Excel, and PowerPoint;
- Ability to exercise judgment;
- Excellent interpersonal skills;
- Strong probative skills;
- Ability to adapt to changing business and regulatory environments;
- Ability to work effectively and supportively within a team;
- Ability to work independently in the EU and as part of an EMEA and global team;
- Strong attention to detail;
- Highly organized and efficient, with administrative skills and the ability to multi-task and meet tight deadlines.