COMPLIANCE OFFICER - VIE M/F

Job description

IRLANDE(Dublin)
du01 octobre 2020au01 octobre 2021(pour12mois)
ETABLISSEMENT :CACEIS
REMUNERATION MENSUELLE :2054€ (indemnité non contractuelle fixée par décret et arrêté, dont le montant peut varier notamment en
fonction de l’évolution du barème de référence, de la localisation de la mission et des cas d’abattements prévus par les textes)

Company:

CACEIS - a dynamic and progressive member of the Crédit Agricole Group - is one of the world’s leading asset servicing providers to institutional and corporate clients. CACEIS has over 90 employees in Ireland and 4,500 worldwide, in cities such as Paris, Luxembourg, Amsterdam, Madrid, Munich, London, Hong Kong and Toronto. CACEIS Bank, Ireland Branch (“the Branch”) acts as depositary and custodian to collective investment schemes and CACEIS Ireland Limited (“the Company”), provides fund administration and related services to Irish and non-Irish domiciled funds and companies.

Job Objectives:

The primary focus of the Compliance Officer will be the maintenance of CACEIS in Ireland’s financial security obligations to ensure completion and delivery of internal financial security reports to the local teams as well as the financial security units in Luxembourg and Paris, respectively.

The role of the Compliance Officer is to:
• Support the compliance department in implementation of the internal control framework and relevant reporting.
• Assist the compliance department in the annual compliance monitoring programme and in line with CACEIS Ireland Limited (CIL) and CACEIS Bank, Ireland Branch (CBIB) permanent and financial security controls and relevant policies and procedures to ensure regulatory requirements are adhered to at all times.

Main Duties and Responsibilities:

• Prepare, compile and conduct the financial sanction and Politically Exposed Person (PEP) screening in a timely manner, as required by the Group;
• Investigate potential matches and document the rationale behind all decisions taken;
• Prepare and analyse daily / monthly / quarterly financial security reports and submit to financial security teams within the specified deadlines;
• Handle, investigate and action suspected or actual fraud attempts, as instructed by the AMC ensuring all cases reported, are escalated and recorded appropriately;
• Maintain and update all local procedures documenting CIL’s Investor Screening & PEP filtering obligations;
• Investigate transaction monitoring alerts for CIL (Transfer Agency) and CBIB (Branch) on a daily basis;
• Participate and contribute to adhoc and project driven research, investigation and compliance monitoring reports in conjunction with the Head Of Unit - Compliance (HOC) and the AMC;
• Log and maintain oversight of all communications / requests and deliverables with the relevant authorities to ensure timely completion and submission of all matters raised.
• Support the compliance department in planning, design and development of the internal control framework and the ongoing management process;
• Assist AMC and HOC in updating procedures for the financial security areas, to capture all regulatory changes.
• Assist in preparation and timely delivery all compliance reports and deliverables in respect of CACEIS entities in Ireland and any other ad hoc, internal, external reports as required from time to time;
• Maintain the compliance mailbox and ensure investigations are followed up in a timely manner;
• Assist with the development of an internal risk assessment.
• Draft and revise policies and procedures ensuring effectiveness, consistency and adherence to established firm standards and regulatory requirements.

Job Attributes:

Job Knowledge / Technical Skills / Qualifications
• The candidate should have a minimum of 1-2 years’ experience within a Compliance or Risk office environment;
• A third level business qualification with experience in Financial Services, Project Management, Internal Audit and/or Risk Management would also be an advantage;
• Ability to understand the risks of dealing with PEP’s and regulatory expectations around dealing with PEP’s;
• Intermediate to Advanced Word, Excel, Access & PowerPoint is mandatory.
Personal Skills and Capabilities
• Accuracy and attention to details at all times;
• Ability to work on own initiative, and an ability to prioritise;
• Be able to identify and contribute to continuous improvement initiatives;
• An ability to work across teams to achieve objectives;
• A team player that enjoys working in a busy environment;
• Excellent communication skills both oral and written.