Manager will be responsible for overseeing and leading a group of people, ensuring tasks are completed efficiently, and aligning day-to-day operations with broader company goals. Their duties encompass goal setting, strategic planning, decision-making, performance management, and fostering a positive team environment. The manager must be very hands on and must be ready to contribute to the performing of the controls along with the team.
The Compliance Monitoring team main responsibilities:
- Assessing non-compliance risks by ensuring, through a risk-based approach, the proper application of financial market regulations, laws and codes;
- Performing compliance monitoring controls and/or spot checks
- Carry out compliance checks on MiFID, EMIR, ESMA, SFTR, PRIIPS, DFA regulations;
- Participate in the completion of the Compliance monitoring control plan: each Compliance Controller shall execute his/her controls and fill the related results into the dedicated spreadsheet;
- Participate in the control framework of employees who fall in scope of the DFA registration and register them within the CACIB AP list, maintain this list on a day-to-day basis and monitors it through monthly controls.
- Perform periodic consolidated reports, Key Production Indicators, and Management Indicators from the global Local Compliance Network, with a focus on Market activities monitoring.
- Participate in the consolidation of stakeholders’ contributions and communication of the finalized support to GMRC management.
Participate in the definition of dashboards and service management reports;
- Participate in ad-hoc requests, special projects, investigations or regulatory reviews;
- Participate in the drafting and maintenance of procedures and modernization of processes.
- Be involved, at your own level, in the dissemination of the Compliance culture, including in your interactions with the Business line and Compliance advisory.