Associate Compliance Officer

Our client is an international financial institution and is searching for an Associate Compliance Officer. 

This role is perfect for someone who wants to develop core skills in the Compliance profession and set yourself up for a wider career in Compliance and Risk Management. 

Associate Compliance Officer

improving your performance

  • Werk bij top 500 bedrijven
  • Eigen opleidingsbudget
  • Persoonlijke fieldmanager

Wat je gaat doen

In this role you will:

  • Monitor PAD transactions of staff members to ensure all trades are pre-approved and in accordance with the PAD policy.
  • Work on projects and initiatives to further expand the scope and reach of PAD Office.
  • Track and investigate PAD violations and follow up with Business Compliance, Management and Labour Affairs.
  • Work closely with internal control functions such as Compliance Monitoring or Audit.
  • Track and review all disclosed account statements.
  • Review deals that are reported to the Global Control Room to identify any potential conflicts with other deals or activities of the bank.
  • Escalate any identified (potential) conflicts of interest to senior management for their review and clearance.
  • Maintaining Marketing, Watch and Restricted Trading lists based on the information reported.
  • Administer crossings of the Chinese Wall by ‘Public Side’ employees to participate in a ‘Private Side’ client deal or pitch. Follow up with deal team captains on the progression of a deal, to ensure the appropriate Compliance procedures are followed at the right moment.
  • Keep track of and register the dissemination of inside information (i.e. price-sensitive or material non-public information) within the bank, e.g. by maintaining deal insider lists.
  • Train and guide the business on the personal account dealing aspects, management of conflicts of interest and market abuse risks and the role of the Global Control Room and PAD Office.

Wat we vragen

You have excellent verbal and written communication skills and have the ability to interact with a range of stakeholders. You are able to support decisions with sound reasoning, identify regulatory risks and clearly articulate business and regulatory implications of analysis and findings. You are able to clearly set priorities.

You enjoy working as part of a team and are good at working with others. You are diligent, have attention to detail and take pride in your work. Continuous improvement is second nature to you. You don’t wait to be told what to do, you pro-actively look for where you can contribute.

Specific requirements:

  • You have at least 2 years work experience in a Financial Institution, either in a Compliance role or in a corporate and investment banking role.
  • You have at least a basic understanding of financial instruments traded on trading venues, including funds and derivatives.
  • You have at least a basic understanding of relevant laws and regulations, such as the Wet Financieel Toezicht (Wft), Market Abuse Regulations (MAD/MAR) and the Markets in Financial Instruments Directive (MiFID II).
  • Excellent organizational skills with attention to detail, the ability to take ownership of issues and deliver to deadlines in line with expectations.
  • You have a higher education degree in Business, Economics, Law or other relevant field.
  • You are fluent in English, Dutch is an advantage

Wat we bieden

Temporary assistance necessary due to increased workload on Global Control Room and PAD Office side (system roll-out having caused a lot of attention on the topics with a significant number of clarifications, queries and requests for training; thus creating a monitoring backlog). In anticipation of subsequent systems roll-outs, we request for a temporary support to make sure that BaU can be maintained without creation of backlog, in the period of increased system implementation requirement.

Je werkomgeving

Are you interested in or have knowledge of the world of financial products, Investment Banking and Corporate Finance? Do you have experience in or are you interested in a career in Compliance and Risk Management? The role of Personal Account Dealing (PAD) Compliance Officer may just be what you are looking for.

The Global PAD Office is a key Compliance function with a mandate to ensure that transactions in financial instruments executed by our client for their personal investment account/s are conducted in compliance with applicable laws and regulations relating to Market Abuse and that conflicts of interest related thereto are avoided or managed appropriately. The function is also responsible for provision of advice, implementation of policies and/or controls, development/provision of training and oversight of operational processes relating to Personal Account Dealing.

The Global Control Room (GCR) is another function within the compliance department that acts as a central clearing house for deal-related Conflicts of Interest within and across the various business lines of the bank globally, in order to mitigate regulatory and reputational risks. The GCR also assists the business in managing the flow of Inside Information and preserving the integrity of the Bank’s information barriers and Chinese Wall.

Since both functions are very much related, PAD Officer will as part of the role also perform Control Room duties when necessary.

Stel je vraag aan Leonie

Business Unit Manager Stuur een bericht

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Thumbnail algemene introductie video van DPA

Als interim professional bij DPA is elke klus anders en word ik continu uitgedaagd. Zo ontwikkel ik me razendsnel.

Joep Rooijmansinterim compliance consultant

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improving your performance

  • Werk bij top 500 bedrijven
  • Eigen opleidingsbudget
  • Persoonlijke fieldmanager

Stel je vraag aan Leonie

Business Unit Manager Stuur een bericht