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Compliance Officer (f/m/d)

Date: 09-Aug-2019

Location: Luxembourg, L, LU

Company: Deutsche Börse Group

Group Company: Clearstream Banking Luxembourg

Compliance Officer (f/m/d) 

Full-time | Permanent

 

Field of activity

 

The Compliance Function works closely with the individual business units and group control functions to ensure compliance with national and international laws and regulations applicable to the various units of the Deutsche Börse Group and its business activities. The compliance function has a proactive role in the identification of possible non-compliance or reputational risks, including those that may arise in connection with new activities and products. Clearstream Compliance works in partnership with Group Compliance which is responsible in defining group-wide compliance policies, supports their uniform application within the group entities, and provides centralised services to prevent money laundering and terrorist financing, international financial sanctions, anti-corruption; data protection, and the prevention of conflicts of interest and related securities law requirements.

 

Located in Luxembourg you will assist the CCO in strengthening compliance controls over the organisational and technical measures across the business areas of the specific legal entity, as one component of a broader compliance approach across the Deutsche Börse Group and Clearstream Sub-Group.

 

Tasks/responsibilities

 

  • Define and maintain the 2nd Line of Defense Compliance Control plan
  • Supervise and perform controls as a 2nd Line of Defense on activities carried out by the business areas. Focus is on all Clearstream Banking activities, like securities settlement system and central securities depository
  • Prepare, develop and maintain relevant risk analysis including risk based derivation of respective control measures
  • Support and supervise the business areas regarding coordination and closing of findings identified by Compliance or as results of internal or external audits
  • Coordinate resolution of external and internal audit findings on the Compliance function
  • Prepare reports on the control measures and controls
  • Monitor regulatory requirements and market practices
  • Contribute to the operational duties of the CBL Compliance Team (compliance assessment for prospects, clients, new issues and alert management)

 

Qualifications/required skills

 

  • University degree in economics, finance or law or a relevant comparable qualification
  • Knowledge of relevant regulatory requirements applicable to Clearstream Banking S.A. and to Deutsche Börse Group entities (e.g. MiFID II, GDPR, MAR, CSSF Circular 12/552 etc)
  • Minimum of 5 years of relevant practical experience gained either in the Compliance function of a financial institution, in an audit function/firm or as member of a supervisory authority to the financial service industry
  • Experience as external auditor, internal audit or on Compliance controls
  • Strong conceptual and methodological skills
  • Attention on detail and organizational skills
  • Communication and negotiation skills, including ability to present complex matters in a clear and comprehensive way
  • Strong individual initiative, high level commitment and motivation

 

Proficiency in written and spoken English is required. French or German is a strong plus.

 


Dedication, team and communication skills, flexibility as well as competent handling of MS Office applications round out your profile. There are numerous good reasons to work for us: responsibility at an early stage, attractive social benefits, an international working environment and a broad variety of career opportunities. Applications from disabled persons are welcome.

Are you interested in working with a pleasant and very dedicated team? Convince us with an appealing application. Please use our online application portal.


Deutsche Börse Group, Human Resources
www.deutsche-boerse.com

Keywords: compliance, regulatory requirements, risk analysis