Sr COMPLIANCE OFFICER - LYXOR ASSET MANAGEMENT M/F

Job code: 18000YFQ
Date of publication: 2018-11-06 18:40:48.0
Starting date
2019-02-18 00:00:00.0
Job function
Legal / Taxation / Compliance
Business unit
Lyxor
Location
MILANO
Job type
Permanent contract

Environment

The local LYXOR AM Compliance Officer monitors and report results of the Internal Control activities within the company and provides guidance for the local staff.

The Compliance Officer is authorized, as an independent body, to implement all necessary actions to ensure achievement of the objectives in a local and/or regional compliance program consistent with the business environment risks.

The Compliance Officer will manage relationships with the 'internal customer' aiming to find compliance solutions to the business activity by setting up policies/procedures and controls.
Manage the relationship with the Head of Compliance for LYXOR AM in Paris, provide proper information to the governing bodies any related function involved (mainly BL COO of reference, Operational Risk, IGAAD) and the relations with the Regulator.

Mission

The main focus is to deliver support and advice on:

Ø  Market Integrity

Ø  Treating Customer fairly

Ø  Conflict of Interests & Insider Informations

Ø  Personal code of ethics

Ø  Reputational risk

Ø  MIFID II

Ø  Second Level controls

Ø  Regulatory watch

Ø  Relation with regulators

Ø  Whistleblowing

Ø  Training

Ø  NPC

With specific regard to business activities:

Ø   identify the rules on going applicable

Ø   measure / assess the impact of new relevant legislation on business processes and procedures

Ø   verify the effectiveness of the structures, processes, procedures - including operational and commercial - to manage the compliance risks

Ø   propose organizational and procedural changes in order to assure adequate garrisons on the identified compliance risks

Ø   verify the effectiveness of organizational change (structures, processes, procedures also operational and commercial) recommended for the prevention of compliance risk

Ø   managing issues related to conflicts of interests and insider information

Ø   measuring / assessing the impact of new relevant legislation on business processes and procedures

Ø   contributing to develop the quality/quantity of the Compliance services

Profile

To Qualify, You Will Have The Following Requirements

·         Degree in Law, Economics, Finance

·         Experience of 5 to 7 years gained in the Compliance department of an international renowned financial  institution;

·         Excellent analytical and relationship skills;

·         Successful experience in leading negotiations on complex, high value, contracts and agreements;

·         Knowledge of Financial Markets and related risks with main focus on Asset Managers Institutions

·         Good understanding and handling of related AM regulations and lows (TUB, TUIR, MIFID ii, Ecc….)

·         Ability to work independently and to carry out assignments to their completion, working on own initiative with stakeholder awareness and approvals;

·         Proven ability to handle multiple tasks and changing priorities;

·         Ability to gather information and analyze a variety of data;

·         Self-motivated

·         Fluency in English - written and spoken - is essential to fill this role; fluency in a second foreign language (preferably French) is nice to have.

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