Role: Senior Compliance Officer
Location: Brussels, Belgium
Salary: Competitive and Candidate Dependent
Reporting To: Head of Compliance Conduct and Advisory, Belgium
We are currently representing a leading investment management firm in Belgium that is looking for a Senior Compliance Officer. The role itself comes with plenty of responsibility - you will advise the Senior Management, the business units and support functions on the concrete application of the relevant regulatory requirements and will contribute to the compliance monitoring framework especially related to the rules of conduct in cooperation with the other team members.
The Candidate
- At least 5 years of experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm. Compliance experience in the asset management industry or investment services is a strong plus.
- Expertise of Compliance laws, rules, regulations, risks and typologies in particular related to collective investment activities and/or investment services.
- Comprehensive knowledge of regulatory requirements including European regulation and industry standards as they pertain to asset management (UCITS, AIFMD, MIFID, SFDR, GDPR, MAR, etc.).
- Experience in writing/ reviewing policies, procedures, reports, and other effective communication.
- Excellent written, verbal communication skills in French and English (Dutch would be a plus).
- Strong organizational skills - ability to meet deadlines consistently, manage multiple tasks.
- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
- Ability to navigate a complex global organization; to influence and lead people across cultures.
The Role
- Participate in the analysis of the regulatory risks incurred and the identification of foreseeable or potential impacts for the company in cooperation with the Legal department.
- Contribute to regulatory change implementation initiatives.
- Perform Compliance policy reviews and participate in the drafting/updating of policies, procedures.
- Provide timely and accurate regulatory advice and support to business and support functions on an on-going basis.
- Contribute to the different compliance conduct frameworks (such as Conflict of interests, personal account dealing, complaint monitoring, training policy, required certifications, etc.).
- Contribute to the Compliance training plan, drafting training materials, and carrying out webinars and face-to-face training.
- Contribute to the development of new activities, processes and financial products.
- Contribute to the responses provided by the Compliance team to RFPs and due diligence.
- Maintain the compliance-related information available on the Internet for third parties and on the intranet for employees.
- Periodically represent the department in committees.
- Contribute to the elaboration of internal or external (supervisory authorities, clients) compliance reports.
