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Poste :
Compliance Officer (M/F)
Bureau :
Luxembourg
Date d'entrée :
01.09.2024
Temps de travail :
100%
Domaine :

 

Compliance Officer (M/F)

Description

UBP has been represented in Luxembourg since 1971 through Union Bancaire Privée (Europe) S.A. Over the years, the UBP subsidiary has steadily expanded its presence through major acquisitions and strong organic growth. Today, it is one of the 10 most important private banks in the Principality in terms of assets under management. As the European hub of the UBP Group, UBP Luxembourg has an EU-wide licence to carry out its business activities. Our experts can therefore serve our customers in all 27 EU member states from our headquarters in Luxembourg.

Mission

The Compliance Officer seeks to ensure that the bank's activities comply with regulations and UBP ethics. He/she must ensure obedience to Compliance Policy and Charter approved by the Board of Directors and identify, control and escalate Compliance risks.

Challenges

You will join a top dynamic team that works in a fast changing and complex environment among which you are entitled to identify, assess, advise and report any compliance risk arising from areas as MiFID, ESG & SFDR.

Main responsibilities

  • Overall risk-based compliance monitoring program for the Luxembourg entity and its existing branches, through the controls implemented locally in accordance with CSSF and UBP Group;
  • Implementation and follow-up of necessary controls to execute the annual compliance monitoring plan defined and approved by UBP's management (planning, execution, documentation, reporting of findings and control of the implementation of corrective measures), by conducting in an independent manner a priori and a posteriori internal control missions and more particularly regarding the Front-office;
  • Centralisation of Compliance issues in accordance with the Compliance Policy and Charter;
  • Analysing the deficiencies, determining whether they relate to the systems or individual issues and making recommendations to improve the organization;
  • Performing controls and providing recommendations, as a matter expert with regard to MIFD/ESG/SFDR, and/or related to the execution of market transactions in accordance with internal and external directives, professional code of ethics, rules of conduct and other legal market requirements in these matters. 

Education

  • Education: Master Degree
  • Certification: Master degree in Law, Finance or equivalent
  • Technical skills: Strong knowledge of regulatory environment in Luxembourg, especially applicable to banking sector
  • IT Tools: Solid knowledge of MO Applications

Experience

  • Years of experience: 3-7 : intermediate
  • Experience required: MiFID, ESG, SFDR
  • Experience in private banking: Mandatory

Language

  • English: Fluent
  • French: Fluent

Personal skills

  • Swiss resident: N/A

  • Solid knowledge of regulatory environment in Luxembourg (especially in private banking). Good knowledge of financial products and markets.
  • Deep analytical skills, responsiveness and problem-solving attitude.
  • Excellent interpersonal skills with natural ability to communicate with interlocutors at all levels of hierarchy.
  • Dynamic personality, accustomed to work either as a team than autonomously.

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