Compliance Officer

GENERAL OBJECTIVE
To ensure the business activities are conducted in accordance with applicable laws, regulations, circulars, and directives.  There will be specific  focus on regulatory and policy requirements applicable to Clearstream’s global customer base, products and services with the mission to ensure that Clearstream maintains high standards of practice in the eyes of the customers, the public and the authorities in the markets that it serves.
 
SUMMARY DESCRIPTION
Areas of responsibility include the prevention of money laundering and terrorist financing, international financial sanctions, anti-corruption, market abuse and other financial crimes; and the prevention of conflicts of interest and related securities law requirements.

Tasks / Responsibilities

• Support projects and initiatives within the Chief Compliance Officer Area
• Provide advice to the 1st Line of defence on compliance related topics
• Providing input on onsite visits as well as addressing any compliance queries raised by Asset management network
• Review and assessment of contracts including opining on compliance related topics
• Ensuring compliance with on-going AML/CTF duties including but not limited to reporting suspicious activities and the related follow-ups with the relevant authorities (where necessary).
• Executing the Financial Crime Prevention program that covers AML/CFT, Anti-Fraud, Anti-Bribery & Corruption, and market abuse/insider trading, including but not limited to providing advisory and support to the business in handling escalated queries (advising on risk-based approach) 
• Application of Know-Your-Customer principles, and quality assurance of related files
• Handling of system driven monitoring alerts, and research and investigation activities, particularly money laundering, sanctions, and insider dealing
• Preparation of information from both internal systems and external research. 
• Preparation and compliance assessment of customer on-boarding files
• Compliance assessment of periodic KYC reviews.  

Other Responsibilities

• Act as support and advisory assistance to first line of defence employees and management for any question related to Compliance; 
• Handle internal and external audits;
• Submit reports on a timely basis;

Qualifications / Required Skills

• Minimum 2 years of experience in a similar role (AIFM, UCITS ManCo)
• University degree in Law, Business, Accounting or Finance related area
• An understanding of MiFiD, AIFMD, UCITS and AML European Fund legislation 
• Experience with reviews of legal documentation (contracts)  and provision of Compliance input
• Strong communication and negotiation skills (internally and externally), including ability to present complex matters in a clear and comprehensive way
• Strong analytical and conceptual skills, creativity, critical thinking, as well as ability to identify problems and propose solutions
• High degree of professionalism and the ability to independently complete complex projects
• Ability to identify problems and propose solutions
• Proficiency in written and spoken English; proficiency in any other languages would be an additional benefit
• Team player, able to work independently on complex matters/ projects.
• Strong individual initiative, the ability to work well in a team that may include representatives from a range of business areas, and different locations
• Ability to self-manage workload with a positive approach