Compliance Officer

Overview

Participates to the performance and the monitoring of the Core Compliance activities and to the policies owned by Compliance.

Responsibilities

Monitor, Control & Report:

• Perform Core Compliance controls as specified in the control plan,
• Work closely with the business to identify processes in order to make sure the controls are relevant and effective vs applicable regulation,
• Identify recommendations and actions plan,
• Propose controls enhancements if needed,
• Update and follow up the control plan and the recommendations issued.

Compliance policies/procedures:

• Propose and participate in liaison with the Group to the establishment and make sure that these policies/procedures are updated with the applicable regulation over the time.

Core Compliance Advisory & Training:

• Provide ongoing regulatory advice to any member of staff with respect to core compliance subjects
• Follow up the LCH SA training sessions.

Regulatory Reporting:

• Notify and correspond with regulators (AMF, ACPR, CFTC, SEC, FINMA, JFSA, OSC, AMFq, Tracfin, CNIL etc.) as and when required by the regulations to which the services need to comply with respect to core compliance. Track and archive.

In order to ensure flexibility within the team, the role may encompass any other tasks that has to be performed by the Compliance department as and when requested.

Qualifications

• Knowledge of Central Counterparty clearing, and European regulations related to Banks and to clearing,
• Organised and control oriented,
• Curious and eager to investigate in order to understand the processes and how tools work,
• Interpersonal skills, excellent verbal and written communication skills (French and English),
• Ability to work effectively with colleagues and regulators at all levels,
• Ability to manage multiple initiatives simultaneously in a dynamic environment,
• Sound judgment and strategic thinking skills.

We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone’s race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs.