Compliance Officer

hace 4 meses

Madrid, España Kepler Cheuvreux A tiempo completo

**Department**:Compliance
- **Duration**:permanent contract
- **Start Date**:as soon as possible
- **Location**:Paris or Madrid Office
- **Salary**:As per Kepler Cheuvreux’ policy

**KEPLER CHEUVREUX**:
Kepler Cheuvreux is a leading independent European financial services company that specialises in Research, Execution, Fixed Income and Credit, Structured Solutions, Corporate Finance, and Asset Management.

The Group employs around 600 people and is present in 14 major financial centres in Europe, the US and the Middle East: Amsterdam, Brussels, Dubai (DIFC), Frankfurt, Geneva, London, Madrid, Milan, New York, Oslo, Paris, Stockholm, Vienna, and Zurich.

**Group key figures**:

- 1st independent European equity broker.
- +EUR1.5bn of equities traded on average daily.
- 1st Equity Research coverage in Continental Europe.
- 1st Country Broker and Research (Extel 2024).
- 14 major financial centres in Europe, US and the Middle East.
- 600 employees.
- 1,300 institutional clients

**YOUR TASKS**

Compliance controls and advisory on the following topics:

- Client suitability and eligibility of products and business model (MIFID 2)
- Regulatory compliance (MIFID 2)
- Market surveillance (MIFIR, MAR)

Anti-money laundering and fight against terrorism (Group):

- Ensure update of group policies / procedures and review of risk assessment
- Validation of high risks clients and complex cases
- Ensure monitoring of existing accounts update
- Ensure Front Office Staff training in relation with AML FT issues

Non compliance risk assessments:
Maintaining and updating Compliance monitoring program and ensuring compliance with Group Rules (French Prudential Authority):

- Regulatory watch and non compliance risks identification
- Risk measurement
- Update of control plans
- Mapping of NC risks to the overall risk mapping

Digitalisation:

- Use of AI, automation tools and propose improvement plans of Compliance processes with a view to remove _no-brainers _and repetitive low value-added tasks.

**YOUR PROFILE AND SKILLS**:

- Business school or university graduate with a major in business administration, law or finance
- A minimum of 5 years of experience in Compliance in an Investment Firm (AMF supervision)
- A capacity to identify problems, have an approach to the latter, and propose resolutions
- Strong business understanding
- An experience in audit is a plus
- Awareness of risk, compliance and control issues
- Good communication and reporting skills
- Independent, reliable, very rigorous
- Fast learner, fluent in French and English
- Ability to communicate with people at all levels in the organisation
- Capacity to handle an increasing number of issues independently

**RECRUITMENT PROCESS**:
Between 2 and 3 rounds of interviews: both fit and technical questions.

You will need a flexible and creative approach in order to flourish in our international environment and succeed with our diverse client base. If you possess these qualities and would like to be part of Kepler Cheuvreux’s story, then come and join us
- Département
- Support - Risk & Compliance & Control
- Locations
- France - Paris, Spain - Madrid
- Remote status
- Hybrid Remote
- Employment type
- Contract

**About Kepler Cheuvreux**:
Group key figures:

- 1st independent European equity broker.
- +EUR1.5bn of equities traded on average daily.
- 1st Equity Research coverage in Continental Europe.
- 1st Country Broker and Research (Extel 2024).
- 14 major financial centres in Europe, US and the Middle East.
- 600 employees.
- 1,300 institutional clients

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