Deputy Global Head of Compliance (US leading firm)

Michael Page
mardi 15 mai 2018
Date limite
vendredi 15 juin 2018
Lorraine le Pomellec
Niveau d'expérience
5 à 10 ans d'expérience
Type de contrat
Temps de travail
Temps plein

The main purpose of the function is to give support, advice and provide guidance to Global Head of Compliance.

Client Details

US leading financial services firm, active in several countries in Europe, which benefits from a strong growth and proven track record


As Deputy Global Head of Compliance, you will bring your expertise to the business and ensure that the company's practices comply with regulations and local/internal policies.

  • Act as deputy, reporting directly to the Global Head of Compliance

  • Monitoring of regulatory requirements as well as of the procedure and rules of the Group

  • Identifying and documenting regulatory risks and assisting the business in developing controls

  • Adoption of new documents and products and design processes

  • Provide advice and answer to information requests concerning the areas of compliance

  • Preparing supporting resources, preparation of information memo's for the attention of the staff, organization of information sessions and training

  • Summarizing and reporting results of testing in a clear manner to relevant stakeholders

  • Preparation of responses to information requests from the Authorities (FSMA, CTIF…)

  • Advise on developments in the compliance and provide recommendations for remediation

  • Conducting trainings and coaching more junior members of staff are also part of your tasks as well as liaising with other local compliance officers within the group

  • Handling and follow-up of specific and more general compliance projects in an independent way and present it to the relevant committees


To be eligible for the Compliance position, your profile will match the following:

-Master's degree in Business School, Master in Law, Economics or alike

-From 5 years of relevant working experience e.g. compliance officer in Banking or Financial Institutions (Asset Management, investment Banking)

-Experience in relevant topics for compliance (MIFID2, AMLIV, financial products)

-Experience in promoting awareness of compliance matters (ad hoc trainings, internal communication, answers questions from business)

-Comprehensive knowledge development of written procedures and policies

-Execution of risk assessments, compliance monitoring & testing activities program (with regard to AML, MiFID, Ethics…)

-Daily support with regard to the responsibilities of the compliance domains (providing an answer to advice and information requests, drawing up reports, preparing answers to information requests of the authorities, collaborating on the implementation of compliance related projects and processes, …)

-Demonstrate strong management of regulatory risks, processes and controls

-Fluent in French and English - another European language will be a plus

-Sharp analytical, research and organizational abilities

-Excellent communication skills, oral as well as written, able to show diplomacy and be assertive when necessary

-Ability to work independently, take initiative and decisions

-Willingness to work in a fast moving and entrepreneurial organization

-Innovating, problem solving, maximize client satisfaction, cooperative, and delivering results are essential

Job Offer

  • Working for a fast moving leading US financial services firm

  • A key position in the compliance team

  • A competitive gross salary with a wide range of benefits

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