Compliance Officer (VP) - Surveillance & Investigations (m/w/d)

Firmenprofil

Our client is an international very renommated bank.

• Manage Compliance Surveillance & Control plan and gradually enhance the Compliance Surveillance and Monitoring framework over time to appropriately cover relevant risks such as Money Laundering, Market Abuse, and/or the misuse of confidential information.
• Execute Compliance Surveillance and control measures in line with the Compliance Surveillance & Control Plan.
• Identify areas where additional Compliance Surveillance and/or control measures are recommended to cover identified risks or weaknesses and design/implement the relevant new controls as appropriate to address a business or process risk.
• Facilitate and foster further automation of Compliance Surveillance and Control activities.
• Establish and manage the Compliance investigations function
• Coordinate the timely execution of Compliance Investigations with relevant team members in Compliance, Legal and other areas.
• Handle Customer Complaints and Whistleblowing reports received in close coordination with the Legal function and, where appropriate, external law firms.
• Prepare relevant investigation reports for senior management.
• Prepare communications and responses to Complainants or Whistleblowers
• Represent the Compliance function in audit reviews and provide relevant information around Compliance Surveillance & Controls framework, Complaints and Whistleblowings to auditors
• Prepare relevant notifications of suspicious activities (SAR's, STOR's) and other relevant reports to regulatory authorities.
• Monitor the execution of outsourced Surveillance & Control activities by other group entities and external service providers
• Prepare regular management reports and status updates about the Compliance & Surveillance control plan, the level of execution of relevant controls, the status of relevant Complaints or Whistleblowings
• Coordinate with the HR and Legal functions as appropriate on the execution of disciplinary action taken as a result of breaches identified through Compliance Surveillance and Investigations activities.
• Provide training on Compliance Surveillance, Controls and Investigations framework, Complaints and Whistleblowings to relevant stakeholders and maintain clear and open communications with the business functions, senior management and corporate functions in the group
• Maintain and, where relevant, establish appropriate Policies and Procedures to cover Compliance Surveillance, Controls and Investigations framework and the Complaints and Whistleblowing process

Anforderungsprofil

Qualifications:

• 5+ years of professional experience with a focus on internal Compliance Surveillance, Monitoring and

• Very good knowledge of European and relevant national (Dutch, German, French) regulatory requirements

• Very good communication skills and ability to interact successfully in a dynamic international environment
• Very good analytical skills
• Fluency/proficiency in English, both verbal and written and one additional language, either Dutch, German,

• Successful University level education
• Relevant IT skills (including MS Office)Soft skills:
• Enthusiastic individual willing to join a fast paced business
• Willingness to quickly develop a sound understanding of the companies' business activities
• Ability to work as a Team player in an organisation with few layers of hierarchy

• A long-term perspective in a diverse field of work
• Exciting responsibilities and opportunities to learn
• The opportunity for self-directed work
• Attractive compensation
• Benefits
• Great team spirit and a modern company culture
• Flexibility and hybrid working model