Director Core Compliance
Consultant Ton van der Kooi
Datum 3 mei 20192019-05-03 2019-07-02 banking Amsterdam North Holland NL EUR 105000 125000 125000 YEAR Robert Walters https://www.robertwalters.nl
Are you an experienced Head of Compliance? Do you want to work for the European Head Office of an international leading and growing bank? Then keep reading.
In this role you lead the teams of Core Compliance / Advisory and Compliance Oversight for the European Branches.
- Oversee the Core Compliance Program ensuring staff is executing appropriately.
- Implement and manage Core Compliance policies and procedures that ensure the organization is in full adherence with all relevant global and local rules and regulations.
- Compliance Leadership: design and implement, within the wider risk framework, structures and processes that integrate the principles of effective compliance into daily operations, encourage behavioural change and drive good governance.
- Evaluate the current status of compliance activities through the completion of periodic heat map meetings with compliance specialists, as well as attendance at relevant committee meetings (e.g.
- New Product Committee) and take appropriate action.
- Global collaboration: work in partnership with risk and compliance specialists across the region and globally to share best practice, provide support and develop effective compliance policies and methodology appropriate to the Bank.
- Communicate non-conformance issues to all relevant parties in order that appropriate and timely remedial action is taken providing guidance and support as necessary, also ensuring that such issues are reported in accordance with established procedures and guidelines.
- Provide/organise specialist advice and guidance to the business areas and branches in line with the agreed business objectives to meet all relevant internal and external regulatory/statutory requirements in relation to Compliance.
- Keep abreast of changes in law, regulations and market practice and submit recommendations for action and assisting in implementation thereof (policies and procedures, banking facilities and documentation produced by the Divisions and ensure such changes are taken into account as new documentation and legal forms are prepared).
- Promote staff awareness, understanding of and commitment to Compliance matters and provide appropriate training for staff.
- As and when required undertake small projects and/or provide specialist input into wider business projects and initiatives, facilitating the identification and evaluation of risks and controls and recommending proportional cost effective solutions.
Lead, direct and manage staff to ensure that they:
Understand their responsibilities and duties applicable to their roles including what is expected and how they are performing against key performance indicators
Comply with the Firms policies and procedures
Conduct themselves in a way which is commensurate with the Firm’s values
Ensure employees are trained for their roles and afforded appropriate development opportunities
Plan, manage and control resources to make sure that the right resources are allocated to the right opportunities and work flow is effectively managed.
Consultation and others
Participating in internal and/or external consultation platforms or committees (either on an ad hoc or permanent basis) regarding Compliance and Legal
i. CC (Compliance Committee)
ii. OCC (Operation Control Committee)
iii. NPC (New Product Committee)
The function requires comprehensive knowledge at academic level, preferably complemented with a post graduate (executive master) degree in Compliance/Risk Management and wide experience across a number of financial services disciplines.
Experience in working in a compliance function of an international financial institution or professional service firm
Functional/Technical Skills and Knowledge requirements:
- Good knowledge of key relevant legal, regulatory and statutory requirements, technical interpretation and the ability to provide advice thereon.
- Experience in working from/leading a group Compliance (or related) function.
- Experience in dealing with DNB communication and investigations.
- Comprehensive understanding the groups overall strategy and goals, structures policies and culture together with a detailed knowledge of the policies, operations, systems and key strategies in own business unit.
- Able to formulate own business area plans and strategy taking into account the wider business unit strategies and requirements.
- Pro-actively develops and maintains relationships with a wide range of keys contacts in all areas.
- The Head of Core Compliance keeps his/her knowledge and skills up-to-date by reading bulletins regarding the area and by external or internal education.
- Up-to-date understanding, of the wider financial services industry, regulatory changes and economic/political factors which may impact business and overall aims.
- Maintains close contact with external organisations/professionals for exchange of information, developments and the sharing of best practice.
You will be offered a responsible position where you will have significant impact in an international organisation. You receive a good salary including a maximum bonus of 20% of your gross salary.
Are you interested in the role of Head of Core Compliance? Then apply as soon as possible.