Compliance Officer

The Head of Compliance is an independent function focused on compliance with laws and regulations, as well as compliance with internal procedures and policies and rules of conduct to prevent damage to the reputation and integrity of the brokerage firm. The role incorporates the following...

Description

The Head of Compliance is an independent function focused on compliance with laws and regulations, as well as compliance with internal procedures and policies and rules of conduct to prevent damage to the reputation and integrity of the brokerage firm.

The role incorporates the following responsibilities:
  • Develop expertise to ensure appropriate advice on legal and regulatory aspects affecting investment services and activities as well as ancillary services (MiFID, market abuse, anti-money laundering as well as governance);
  • Act as the compliance team's point of contact within the brokerage firm and with external parties;
  • Updating procedures and policies related to compliance areas;
  • Monitor the compliance of the services offered by the brokerage company;
  • Monitor the compliance of the services offered by the brokerage company; Carry out a legal and regulatory watch by integrating new developments and updates in the framework of projects;
  • Drafting reports for the regulators (NBB and FSMA);
  • Establish dedicated compliance trainings and give them to the employees;
  • Carrying out and coordinating monitoring (AML, Market Abuse, MiFID, Governance) and drafting control reports.
  • Carry out specific compliance audits;
  • Identify and update compliance risks via the compliance risk map;
  • Report important issues to the various entities concerned (Management Committee, Audit and Risk Committee, Board of Directors and Prudential Committee).

Your profile

Competence :
  • Analytical and judgmental skills based on a rational and constructive approach;
  • Autonomy, organizational skills and transparency;
  • Rigor and respect for ethics;
  • Team spirit;
  • Willingness to learn;
  • Strategic and creative approach to work and problem solving;
  • Diplomatic and communicative.
Knowledge and Experience :
  • University education or equivalent (preferably economics, law, management, finance);
  • Mastery of legislation and regulations related to investment services and activities (MiFID, Market Abuse, AML, Governance);
  • At least 5 years of professional experience in a similar role.

Offer

Our client offers you:
  • a new challenge in a pleasant office;
  • a permanent contract and
  • a good salary package with a company car.

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